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.
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.
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.
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Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.
Will AI Revolutionize Regtech? Part 2: It’s a Work in Progress
Discover how some financial services firms are currently leveraging artificial intelligence and machine learning in fintech and regtech.
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.