Joot helps you evaluate and select the best compliance service providers for your firm.
How much emphasis should your firm place on vendor due diligence and why should you care? Read on.
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
In May, we discussed eight things that you needed to know about the liquidity rule. Here's an update to that post.
In order to revolutionize compliance for good, we are announcing today new, expanded compliance services to complement our technology platform.
General Data Protection Regulation (“GDPR”) falls under the European Union’s data privacy and protection laws and became effective on May 25, 2018. GDPR defines how businesses collect and store customer data, including names, location, identity, online identifiers, etc.
Learn more about the rule most people simply refer to as the “liquidity rule”, but its technical name is Rule 22e-4: Investment Company Liquidity Risk Management Programs.
This article is meant to help those considering adoption of a large new or replacement software product, such as entire front, middle, or back office technology.
What do you do when you’ve been looking for software for your fund administration company but can’t find anything that does everything you want?
