Get our extensive advice for RIA compliance below.
RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.
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.
Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.
If you're planning on starting your own fund company or RIA firm, get our tips for a successful launch.
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.
Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.
Get insights into the unique challenges CCOs face and tips for rethinking RIA compliance through the Framework for CCO Liability in the Financial Sector.
As we continue to enhance our SaaS-based platform for automating compliance, we are also building out our services team. Today, another industry veteran joins Joot.
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.
What is the cost of non-compliance? How much should an RIA spend on compliance? Are these compliance tools and services worth it? The answers to these questions become clearer when we look at both the direct and indirect impact of examination and enforcement actions taken by the SEC.
