We founded Joot to give everyone in the financial advisory industry a better way to get compliance done. Check out our extensive compliance resources below.
Form N-PX Amendment Reminder & What It Means for You
The SEC's new amendments for Form N-PX and Rule 14Ad-1 soon will affect RIAs and Registered Funds. See what these changes mean for you and your firm.
2023 Investment Adviser Association Compliance Conference Recap
Joot Managing Director and Head of Compliance Charles Black attended the 2023 IAA Compliance Conference. Read his recap and some key takeaways from the conference.
Getting Ready for the New SEC Marketing Rule: Insights from the Field
Are you ready for the new SEC marketing rule? Get our expert implementation tips here.
Announcing a Strategic Partnership That Offers Timely SEC Derivatives Rule Compliance
Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.
This Week in FinTech & Compliance #4: SEC Charges Classic Asset Management for Breach of Fiduciary Duty
In this installment of This Week in FinTech & Compliance we discuss the SEC's bulletin on Duty of Care and their recent enforcement action against Classic Asset Management.
SEC Announces Exam Priorities for 2023: What's the Focus?
The SEC has announced its examination priorities for 2023. Read the latest Joot blog to learn more about the priorities and the overlap in previous years.
Reframing RIA Compliance: Seeing CCO Liability in a New Context
Get SEC Commissioner Peirce’s take on the Framework for CCO Liability in the Financial Sector and apply key lessons to your RIA firm’s compliance program.
The Importance of Testing Compliance Procedures
Testing your compliance procedures is an integral piece of overall SEC compliance for registered investment advisors. Read on as we discuss the importance of testing your compliance procedures.
Why is Compliance Important?
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
Announcing Joot’s Derivatives Rule Board Solution
Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.