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.
Rise of the Machines, Part 3: How Big Data is Changing More Than Just Portfolio Management
In Part 3, we talk about how asset managers are going to need to harness the power of big data to keep up with regulatory requirements.
Tone at the Top: Culture of Compliance
As Chief Strategy Officer for CCO Tech and Co-CEO of Global Rhino (an affiliated company), I had the privilege of speaking on a panel at a national compliance conference with three esteemed industry colleagues, two in-house CCOs at asset management firms, and a consulting expert in the hedge fund space.
CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
CCO Tech Launches Integrated Compliance Calendar
CCO Tech announces the release of its Compliance Calendar, the second module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
GDPR in a Nutshell and the Titan Platform
General Data Protection Regulation (“GDPR”) falls under the European Union’s data privacy and protection laws and became effective on May 25, 2018. GDPR defines how businesses collect and store customer data, including names, location, identity, online identifiers, etc.
Corporate Governance Update: How Delaware Law Interacts with Federal Securities Law
For many asset managers and investment companies, the topic of compliance tends to focus on federal securities, particularly Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act) and Rule 38a-1 under the Investment Company Act of 1940 (the "Company Act").
Introduction to the Titan Platform: The New Kid on the Block
What do you do when you’ve been looking for software for your fund administration company but can’t find anything that does everything you want?