(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.