Joot Interview Series: Episode 2
(if you missed part one, listen here).
In Part 2 (about 15 minutes), which we’ll post next week, we talk about
- Why Cynthia and her firm, Advisory Compliance Solutions, joined the Joot family
- How technology can make SEC compliance easier, improve compliance oversight, and reduce operational costs
- Recent trends in SEC exams and guidance, including recidivism, soft-dollars, and 12b-1 fees
- The rise of the “custodian” model and why mutual fund share class selection is about more than just the lowest share class
- How to respond to SEC deficiencies related to mutual fund share class selections at RIAs