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The True Cost of Regulatory Non-Compliance

May 14, 2020 4:30:00 PM

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. In its Fiscal Year (“FY”) 2019, the SEC brought 862 enforcement actions, a 7% increase from FY 2018.[1] The law fir...
 

Who Starts a Business During a Pandemic?

May 7, 2020 3:00:00 PM

By Jody Foster, President of Symphony Consulting Foreword by Bo Howell: I’m delighted to feature guest bloggers from time to time, especially when it’s someone that brings a complementary perspective to our compliance expertise. Jody Foster has been a supporter of Joot from our earliest days. She discusses some of the considerations to keep in mind if you’re planning to start your own fund or RIA....

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Joot Expands Team and Adds Broker-Dealer Compliance Services

Apr 9, 2020 10:33:20 AM

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 o...