The U.S. Securities and Exchange Commission (SEC) informs and protects investors and enforces federal securities laws. Our content is designed to help you understand and comply with SEC regulatory requirements.
Crypto Moves Overseas
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.
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.
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.
This Week in FinTech & Compliance #3: The FTX Saga Continues
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.
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.
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.
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.
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.
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.