Topic Policies

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 announced its examination priorities for 2023. Read the latest Joot blog to learn more about the priorities and the overlap in previous years.

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.

Get SEC Commissioner Peirce’s take on the Framework for CCO Liability in the Financial Sector and apply key lessons to your RIA firm’s compliance program.

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.

Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.

Need help navigating the U.S. regulatory landscape? You’re not alone. Get our advice here.

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.

In this second installment of "This Week in FinTech & Compliance" we provide some thoughts and commentary on the SEC's recent action against associates of crypto firm FTX.

Struggling to manage compliance documentation and employee certifications? See how our recent redesign of Joot Documents and Policy Manual simplifies the process.

Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.