Risk management is a key component of a healthy compliance program. Get our expert advice for managing risk below.
The SEC has recently released a Risk Alert on the importance of establishing written policies and procedures for safeguarding customer records and information at branch offices. Read on to learn more.
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.
Need help navigating the digital asset learning curve? Get our practical and tech-focused advice here.
Wondering about the opportunities and challenges around digital asset adoption for investment advisory firms? Get our insights here.
Testing your compliance procedures is an integral piece of overall SEC compliance for registered investment advisors. Read on as we discuss the importance of testing your compliance procedures.
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.
Need help navigating the complexities of tokenization and automating KYC? Get the expert advice of our guest bloggers here.
The SEC's Division of Examinations recently announced a risk alert for newly registered investment advisors regarding compliance procedures. Read on to learn the key takeaways from the alert.
Wondering how recordkeeping applies to the new digital asset class of cryptocurrency? Read on.
Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.
Confused by the complex regulatory landscape of cryptocurrencies and other digital assets? Get our in-depth analysis here.
