Joot Interview Series - Episode 2

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:

 

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