Joot Blog

Stay up to date with perspectives, news and updates pertaining to investment management technology, legal, compliance and more.

Social Media Advertising and the New SEC Marketing Rule

Sep 14, 2021 12:53:09 PM / by Charles Black posted in SEC, SEC Rule, SEC Updates, Compliance

Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.

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Will AI Revolutionize Regtech? Part 2: It’s a Work in Progress

Aug 31, 2021 4:34:22 PM / by Bo J. Howell posted in Artificial Intelligence, Compliance Technology, FinTech, Interview, RegTech

Discover how some financial services firms are currently leveraging artificial intelligence and machine learning in fintech and regtech.

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Reviewing and Approving Ads under the New SEC Marketing Rule

Aug 24, 2021 11:43:05 AM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.

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Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule

Aug 10, 2021 12:22:35 PM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.

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Reality Check: Form CRS Failures and SEC Enforcement Actions

Aug 3, 2021 2:14:00 PM / by Alec Cheung posted in Enforcement, SEC, Compliance, Policies, RIA, Form CRS

Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.

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5 Stars: Third-Party Ratings and the New SEC Marketing Rule

Jul 27, 2021 2:58:04 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Confused about how the new SEC marketing rule differentiates between third-party ratings, testimonials, and endorsements? Get some clarity here.

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Will AI Revolutionize Regtech? Part 1: Faster, Easier, Richer

Jul 20, 2021 12:08:18 PM / by Bo J. Howell posted in Artificial Intelligence, Compliance Technology, FinTech, RegTech

Check out the ways artificial intelligence and machine learning are playing increasingly important roles in fintech and regtech.

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Reality Check: Hypothetical Performance and the New SEC Marketing Rule

Jul 13, 2021 3:29:54 PM / by Charles Black posted in SEC, SEC Rule, SEC Updates, Compliance

Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.

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Rethinking RIA Compliance: Seeing CCO Liability through a New Lens

Jul 6, 2021 3:34:32 PM / by Bo J. Howell posted in SEC, Compliance, Policies, RIA

Get insights into the unique challenges CCOs face and tips for rethinking RIA compliance through the Framework for CCO Liability in the Financial Sector.

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Performance Advertising and the New SEC Marketing Rule

Jun 29, 2021 12:45:00 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Learn about the requirements and restrictions for performance advertising under the new SEC marketing rule.

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5 Common Mistakes Advisers Make When Using Compliance Technology

Jun 22, 2021 12:51:16 PM / by Richard Chen posted in Investment Advisers, Compliance Technology, Guest Author

Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.

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Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule

Jun 15, 2021 7:30:00 AM / by John Williams posted in SEC, SEC Rule, SEC Updates, Compliance

Confused about which testimonials and endorsements the new SEC marketing rule permits? Get the plain facts here.

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