Topic Compliance

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.

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01/06/2023

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.

Cody Foster

Digital Marketing Manager, Joot

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.

10 Tips for Navigating the U.S. Regulatory Landscape

Need help navigating the U.S. regulatory landscape? You’re not alone. Get our advice here.

Dina Tantra

Cofounder, Chief Strategy Officer, Joot

Reality Check: Observations from Exams in the RIC Initiatives

Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.

Charles Black

Vice President, Chief Services Officer, Joot

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.

Charles Black

Vice President, Chief Services Officer, Joot

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.

Top 5 Highlights of the New DOL PTE 2020-02 Requirements

Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.

Parham Nasseri

VP, Regulatory Strategy, InvestorCOM

Social Media Advertising and the New SEC Marketing Rule

Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.

Charles Black

Vice President, Chief Services Officer, Joot

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.

Karen Mauk

Director of Marketing, Joot

02/24/2022

European Distribution for U.S. Managers: The Compound Effect

Struggling to overcome distribution obstacles in Europe as a U.S. investment manager? Let us guide you through this tough terrain.

Attilio Veneziano

Founder, Veneziano & Partners

Investment Managers

Compliance

Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule

11/30/2021

Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule

Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.