Get our extensive advice for RIA compliance below.
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.
Reality Check: Hypothetical Performance and the New SEC Marketing Rule
Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.
This Week in FinTech & Compliance #1: Trouble with Two Points
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.
Top 5 Highlights of the New DOL PTE 2020-02 Requirements
Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.
Ten Jurisdictions Adopt New IAR Continuing Education Requirements
Ten jurisdictions adopt new IAR Continuing Education requirements for 2022. Read the Joot blog and find out which jurisdictions affect you.
The True Cost of Regulatory Non-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.