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.
IM Director's Recent Remarks on Standards of Conduct & Liquidity Risk Management
Given that the SEC recently submitted for public comment proposed rules for standards of conduct for investment professionals, Director Blass’ comments give a concise roadmap of the proposed rules.
Liquidity Is Out, ETFs Are In
The SEC’s stance on its not-yet-effective liquidity rule appears fluid, as commissioners push to abandon part of the rule and certain division heads move on to other topics.
SEC Decides It's Time to Help Investors Understand the Difference between Brokers and Advisers
The SEC has finally proposed a rule that will help clarify the distinction between brokers that refer to themselves as "financial advisors" and investment advisers.
Artificial Intelligence in Investment Management Part 1: The SEC
For years now, the concept of “Big Data” has been wildly popular in the business world.
The SEC Is Nervous About Options
On February 23, 2018, Commissioner Kara M. Stein gave a speech about broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.