Joot Interview Series: Episode 2

Joot Interview Series: Episode 2
10/01/2019

Welcome back to part 2 of our interview between Bo Howell and Cynthia Custer.

(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

Listen here: