Author Cody Foster
Joot, Digital Marketing Manager
Cody has a wide range of digital marketing experience across different industries and disciplines. Prior to joining Joot, Cody developed digital marketing initiatives in the civil engineering, news media, manufacturing, and legal spaces, among others.
Why is Compliance Important?
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022
The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.
This Week in FinTech & Compliance #2: FTX & Crypto's Recent Rollercoaster Ride
In this second installment of "This Week in FinTech & Compliance" we provide some thoughts and commentary on the SEC's recent action against associates of crypto firm FTX.
This Week in FinTech & Compliance #1: Trouble with Two Points
In this first installment of "This Week in FinTech & Compliance" we discuss the SEC's case against Two Points Capital and what it can teach RIAs.