Joot Blog

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

A Preview of Examination Scope and Content for Regulation Best Interest and Form CRS

Apr 16, 2020 2:15:00 PM / by John Williams posted in Form CRS, Regulation Best Interest

Remember when you were in college studying for tests and you’d look for one of the fraternity/sorority test files to help you prepare?  Then you’d go into take the actual test and some of the questions were exactly the same and you knew the answer without even reading the entire question.  Well, folks, it isn’t often that the SEC gives us a sneak peak behind the exam curtain to tell us exactly what they’re looking for when they schedule a regulatory examination, but guess what?!  They just did that exact thing in one of their most recent OCIE Risk Alerts.

Read More