Author John Williams
Joot, Director of Compliance Services
John brings nearly three decades of regulatory compliance experience, with the last 14 years as a chief compliance officer for a broker-dealer/RIA. He also has expertise in international operations, business continuity planning, cybersecurity, and banking.
Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule
Confused about which testimonials and endorsements the new SEC marketing rule permits? Get the plain facts here.
Six Latest COVID-19 Risk Observations From the SEC
The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.