What is the cost of non-compliance? How much should an RIA spend on compliance? Are these compliance tools and services worth it? The answers to these questions become clearer when we look at both the direct and indirect impact of examination and enforcement actions taken by the SEC.
The True Cost of Regulatory Non-Compliance
May 14, 2020 4:30:00 PM / by Alec Cheung posted in SEC, Compliance, Regulations, RIA
Who Starts a Business During a Pandemic?
May 7, 2020 3:00:00 PM / by Jody Foster posted in recession, Guest Author, RIA, Jody Foster
By Jody Foster, President of Symphony Consulting
Joot Expands Team and Adds Broker-Dealer Compliance Services
Apr 9, 2020 10:33:20 AM / by Bo J. Howell posted in Joot, John Williams, Broker-Dealer, RIA
As we continue to enhance our SaaS-based platform for automating compliance, we are also building out our services team. Today, another industry veteran joins Joot. John Williams, Director of Compliance Services, brings nearly three decades of regulatory compliance experience to Joot, with the last 14 as a chief compliance officer for a Broker-Dealer / RIA. He also has expertise in international operations, business continuity planning, cybersecurity and banking.