Topic Managing Risk
Risk management is a key component of a healthy compliance program. Get our expert advice for managing risk below.
SEC Risk Alert: Safeguarding Customer Records and Info at Branch Offices
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.
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.
Digital Assets: Compliance Considerations and Technology Integration
Need help navigating the digital asset learning curve? Get our practical and tech-focused advice here.
The Importance of Testing Compliance Procedures
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.
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.
Announcing Joot’s Derivatives Rule Board Solution
Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.
SEC Announces Risk Alert for Newly Registered Investment Advisers
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.
Keeping up with Crypto from a Recordkeeping Perspective
Wondering how recordkeeping applies to the new digital asset class of cryptocurrency? Read on.
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.