Topic SEC Examinations

Is your RIA firm prepared for a visit from the SEC? Joot helps ensure your RIA compliance program is exam ready—so you can keep doing what you do best. Read about SEC exam priorities and more below.

Return to Joot Blog

This Week in FinTech & Compliance #4: SEC Charges Classic Asset Management for Breach of Fiduciary Duty

05/10/2023

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

The Diplomat Versus the Enforcer Part 1: The Waves of Regulatory Diplomacy

Joot CEO and cofounder Bo Howell digs into the regulatory debate between the SEC and CFTC on the topic of crypto. Read on for part 1.

Bo Howell

Cofounder, Managing Director, Joot

The Securities and Exchange Commission Announces Enforcement Actions for Fiscal Year 2022

The Securities and Exchange Commission has announced its enforcement actions for the fiscal year 2022, totaling over $6.5 billion in money ordered. Click here to read more.

Cody Foster

Digital Marketing Manager, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

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.

Charles Black

Managing Director, Head of Compliance Services, Joot

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.

Cody Foster

Digital Marketing Manager, Joot

How to Manage an SEC Exam

Looking for pro tips and best practices to manage the SEC exam process? Look no further.

Bo Howell

Cofounder, Managing Director, Joot

SEC Examinations

The Importance of Testing Compliance Procedures

04/10/2023

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.

Jessica Roeper

Chief Compliance Officer, Joot

SEC Announces Exam Priorities for 2023: What's the Focus?

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.