Joot Blog

Stay up to date with perspectives, news and updates pertaining to investment management technology, legal, compliance and more.

Six Latest COVID-19 Risk Observations From the SEC

Aug 27, 2020 10:15:00 AM / by John Williams posted in financial crisis, Covid, Managing Risk

by John Williams
Director of Compliance Services at Joot

The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.

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Is 2008 about to repeat?

Jun 1, 2018 8:30:46 AM / by Bo J. Howell posted in Investment Advisers, recession, CDS, Corporate debt, Derivatives, financial crisis

Dear Readers,

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