Joot Interview Series - Episode 8

Dec 17, 2019 11:15:00 AM

In this final part of our third Interview (Part 1, Part 2). Bo Howell continues his discussion with Charles Black about the DO's and DON'Ts of SEC Exams.  Charles brings over 17 years of experience in the financial services industry to provide great tips and insight on what to do when the SEC calls. Topics of this three-part interview include: How to approach an SEC exam. Responding to SEC exam re...

Joot Interview Series - Episode 7

Dec 10, 2019 11:30:00 AM

This is Part 2 of our third Interview (Part 1). Bo Howell continues his discussion with the newest member of Joot, Charles Black about SEC Exams.  Charles brings over 17 years of experience in the financial services industry to provide great tips and insight on what to do when the SEC calls. Topics of this three-part interview include: How to approach an SEC exam. Responding to SEC exam requests. ...

Joot Interview Series - Episode 6

Dec 3, 2019 2:00:20 PM

In our third Interview, Bo Howell speaks with the newest member of Joot, Charles Black, to discuss SEC Exams.  Charles brings over 17 years of experience in the financial services industry to provide great tips and insight on what to do when the SEC calls. Topics of this three-part interview include: How to approach an SEC exam. Responding to SEC exam requests. (DOs and DON'Ts) SEC exam interview ...

Joot Expands its Compliance Team

Nov 4, 2019 10:43:00 AM

We are excited to announce the newest addition to the Joot team: Charles Black! Charles brings over 17 years of experience in the asset management industry, including roles in compliance, fund accounting, and fund administration. Charles has served as a compliance officer for both investment advisers and investment companies. Most recently, he served as the Chief Compliance Officer for a few mutua...