Topic Investment Advisers
Here at Joot, we thrive by providing investment advisers with cutting-edge compliance technology and services. Read our latest content tailored for investment advisory firms below.
SEC Check-In: Four SEC Updates You Should Know About
The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.
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.
Maryland Adopts New Continuing Education Requirements for IARs
Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.
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.
Michigan Adopts New Continuing Education Requirements for IARs
Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.
How I Found the Easy Way to Create a Policies and Procedures Manual
Struggling to maintain and implement a policies and procedures manual that's specific to your RIA business? Get help here from our special guest author.
Straight Talk: A Discussion with Eric Powell, Part 1
Read Part 1 of our interview with Eric Powell, founder of RightPlan Financial and the Future Mill, to learn what registered investment adviser (RIA) firms can do for their clients, what it means to build trust, how to leverage technology to manage compliance, and other fun stuff.
This Week in FinTech & Compliance #1: Trouble with Two Points
In this first installment of "This Week in FinTech & Compliance" we discuss the SEC's case against Two Points Capital and what it can teach RIAs.
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.
5 Common Mistakes Advisers Make When Using Compliance Technology
Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.