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.
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.
Navigating Business Continuity Plans Post COVID-19: Five Issues Independent Directors Need to Consider
Get our take on the five things independent board directors should consider for business continuity during unprecedented times.
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.
Business Continuity Planning: A Real-World Test
Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.
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.
SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted by Coronavirus, but Should You Use It?
The SEC is recognizing that limits on travel, reduced personnel, and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.