Joot Blog

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

Top 10 Issues to Consider When Registering a Digital Asset Fund

Jan 11, 2022 3:48:51 PM / by Bo J. Howell posted in FinTech, Managing Risk, Cryptocurrency

Need help navigating the regulatory gauntlet of registering a digital asset fund? Get our advice here.

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Getting Up to Speed with Cryptocurrency

Dec 28, 2021 4:19:23 PM / by Bo J. Howell posted in FinTech, Managing Risk, Cryptocurrency

Confused about the ins and outs of cryptocurrency and what it means for RIA firms and your clients? Get some clarity here.

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Maryland Adopts New Continuing Education Requirements for IARs

Dec 21, 2021 3:02:50 PM / by Karen Mauk posted in Investment Advisers, SEC, Maryland

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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How I Found the Easy Way to Create a Policies and Procedures Manual

Dec 14, 2021 2:11:23 PM / by Grier Rubeling posted in Investment Advisers, Compliance Technology, Guest Author, Policies

Struggling to maintain and implement a policies and procedures manual that's specific to your RIA business? Get help here from our special guest author.

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Looking Back to Move Ahead: SEC Guidance and the New Marketing Rule

Nov 30, 2021 4:44:44 PM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.

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Announcing JootAI Powered by MySocialPulse

Nov 29, 2021 1:52:13 PM / by Karen Mauk posted in Announcement, Artificial Intelligence, Compliance Technology, FinTech, RegTech

Get a free trial of JootAI powered by MySocialPulse today and join us as we build the future of RIA compliance, together.

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Straight Talk: A Discussion with Divya Prashanth and Janine Miles

Nov 16, 2021 3:24:51 PM / by Bo J. Howell posted in Artificial Intelligence, Compliance Technology, FinTech, Interview, RegTech

Meet our partners Divya Prashanth and Janine Miles of MySocialPulse and get their expert advice for leveraging AI and ML tech to manage RIA compliance.

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Reality Check: Observations from Exams in the RIC Initiatives

Nov 9, 2021 1:56:26 PM / by Charles Black posted in SEC, SEC Examinations, Compliance, Disclosure, Policies, Compliance Testing, RIA, Managing Risk

Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.

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Will AI Revolutionize Regtech? Part 4: If You Do the Right Thing

Oct 12, 2021 2:47:40 PM / by Bo J. Howell & Cal Al-Dhubaib posted in Artificial Intelligence, Compliance Technology, Guest Author, FinTech, RegTech

Get advice for ethically developing and implementing AI projects that make work more fulfilling and build trust with your clients.

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Will AI Revolutionize Regtech? Part 3: If You Build It

Sep 28, 2021 4:25:57 PM / by Bo J. Howell & Cal Al-Dhubaib posted in Artificial Intelligence, Compliance Technology, Guest Author, FinTech, RegTech

Realize the value of building AI-driven fintech and regtech solutions and get practical advice for starting your own AI project.

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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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