Joot Interview Series - Episode 1.

Hello, Joot community! Welcome to our first Joot interview.  We’re excited to continue delivering helpful content and thought leadership to you. We had fun recording the interview, and once we've done a few more this may become a podcast.  We hope that you’ll find it helpful. 

This week’s edition is Part 1 of 3 (about 15 minutes). In it Bo Howell, CEO of Joot, speaks with Cynthia Custer, Director of Compliance Services at Joot, about:

  • The pros and cons of outsourcing compliance, including the SEC’s view on these types of solutions.
  • The types of asset advisory firms that should consider an outsourced model.
  • How to work with an outsourced compliance consultant, including the need for the right technology to stay connected.
  • common issues that RIAs have with SEC compliance and examinations.

Listen here:

 

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