Resources
At Joot, we’re committed to simplifying compliance for investment advisers. Check out these useful guides, white papers, and other resources to make your job easier!
Additional Resources & Downloads
CCO's Guide to Surviving a Regulatory Examination
Every firm will go through an examination at some point. In this guide, we summarize the collective experience of our CCO consultants to help you make it through your next exam as cleanly as possible.
Practus Interval Funds White Paper
This Practus white paper covers the legal, compliance, and operational characteristics you need to understand if you’re considering launching or operating an interval fund.
SEC Marketing
Rule eBook
This guide walks you through the major parts of the new SEC marketing rule effective on May 4, 2021 with a compliance date of November 4, 2022. This new rule provides a much-needed update to advertising regulations.
AI & Regtech
eBook
This guide on artificial intelligence and regtech was developed to supplement the session titled “Will AI Revolutionize the Financial Services Industry?” at the 2021 NSCP National Conference.