Topic SEC

Cryptocurrency still faces regulatory confusion in the United States but has become more open and widespread in the UK and European Union. Bo Howell discusses.

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'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.

In this installment of "This Week in FinTech & Compliance", we take a look at the SEC's formal charges against FTX Co-Founder and former Co-Lead Engineer Nishad Singh and the implications it may have on the crypto community.

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 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.

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.

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.

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.

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.

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.

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.