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.
- 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.