Get our extensive advice for RIA compliance below.
Form N-PX Amendment Reminder & What It Means for You
The SEC's new amendments for Form N-PX and Rule 14Ad-1 soon will affect RIAs and Registered Funds. See what these changes mean for you and your firm.
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.
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.
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.
This Week in FinTech & Compliance #4: SEC Charges Classic Asset Management for Breach of Fiduciary Duty
In this installment of This Week in FinTech & Compliance we discuss the SEC's bulletin on Duty of Care and their recent enforcement action against Classic Asset Management.
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.
SEC Proposes Changes to Custody Rule
In mid-February the SEC announced proposed changes to the Custody rule in an effort to update and enhance investor asset protections. Read the Joot blog to learn more.
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.
SEC Staff Issues Bulletin on Duty of Care
The SEC have issued a Duty of Care bulletin for broker-dealers and investment advisers. Joot breaks down the core components what you need to know.
2023 Investment Adviser Association Compliance Conference Recap
Joot Managing Director and Head of Compliance Charles Black attended the 2023 IAA Compliance Conference. Read his recap and some key takeaways from the conference.
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.