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Joot Blog
Stay up to date with perspectives, news and updates pertaining to investment management technology, legal, compliance and more.
Will AI Revolutionize Regtech? Part 4: If You Do the Right Thing
Will AI Revolutionize Regtech? Part 3: If You Build It
Social Media Advertising and the New SEC Marketing Rule
Will AI Revolutionize Regtech? Part 2: It’s a Work in Progress
Reviewing and Approving Ads under the New SEC Marketing Rule
Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule
Reality Check: Form CRS Failures and SEC Enforcement Actions
5 Stars: Third-Party Ratings and the New SEC Marketing Rule
Will AI Revolutionize Regtech? Part 1: Faster, Easier, Richer
Reality Check: Hypothetical Performance and the New SEC Marketing Rule
Rethinking RIA Compliance: Seeing CCO Liability through a New Lens
Performance Advertising and the New SEC Marketing Rule
5 Common Mistakes Advisers Make When Using Compliance Technology
Thumbs-Up: Testimonials, Endorsements, and the New SEC Marketing Rule
Straight Talk: A Discussion with Eric Powell, Part 2
Leveraging Technology with the New SEC Marketing Rule
Straight Talk: A Discussion with Eric Powell, Part 1
Reality Check: Introducing the New SEC Marketing Rule
How Technology Helps CCOs Manage RIA Compliance
SEC Examination Priorities for 2021
New York Finally Requires Investment Adviser Representatives to Register
How to manage SEC compliance remotely
Reality Check: Best Execution and Selection of Mutual Fund Share Classes for Clients
How Technology is Helping Business Finance
Six Latest COVID-19 Risk Observations From the SEC
Managing Risk
Virtualization for Startups and Small (or not so small) Businesses
Navigating Business Continuity Plans post COVID-19: Five Issues Independent Directors Need to Consider
Crunch time: 10 Tips to Completing Your Form CRS
CCPA Enforcement Begins July 1 – Are You Ready?
How to Prepare for an SEC or FINRA Regulatory Examination
The True Cost of Regulatory Non-Compliance
Who Starts a Business During a Pandemic?
Top 5 Questions Boards Need to Consider During Times of Crisis to not only Retain Assets, but Grow them
Real World Insight From Current SEC and FINRA Exams
A Preview of Examination Scope and Content for Regulation Best Interest and Form CRS
Launching an Interval Fund – Why Now is the Right Time and What You Need to Know
Joot Expands Team and Adds Broker-Dealer Compliance Services
Business Continuity Planning: a Real-World Test
SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted By Coronavirus – But Should You Use It?
SEC Issues Proposal to Modernize the Advertising Rules
Cybersecurity: A Question of When, Not If, Your Company will Fall Victim
Implementing the New Form CRS: Don’t Overlook the Details
Overhaul Your Privacy Policy, Part 2: Elements of a good privacy policy
SEC Exam Priorities 2020
Is it time to overhaul your privacy policy and notice?
Joot Interview Series - Episode 8
Diversity & Inclusion: Steps Forward in the Asset Management Industry
Joot Interview Series - Episode 7
Rise of the Machines, Part 3: How big data is changing more than just portfolio management
Joot Interview Series - Episode 6
Rise of the Machines, Part 2: Changing Portfolio Management
Joot Interview Series - Episode 5
Joot Interview Series - Episode 4
Rise of the machines, Part 1: How increased automation in financial services impacts society
Joot Expands its Compliance Team
Testing 1-2-3
10 Tips to Avoid Pay-to-Play Restrictions
Compliance Testing Programs - Part 2: The bottom-up approach to building your compliance program.
Joot Interview Series - Episode 3
Compliance Testing Programs for Small & Medium Firms - Part 1
Joot Interview Series - Episode 2
A Fresh Look at Vendor Due Diligence
Joot Interview Series - Episode 1.
Joot Expands its Compliance Team and Service Offerings
Q&A: Client Relationship Summary (Form CRS)
SEC: Regulation Best Interest
Joot discusses FinTech with the Institute for Innovation Development - Part 2
Joot discusses FinTech with the Institute of Innovation Development - Part 1
Advisory Compliance Solutions Merges with Joot
Making Things Beta
You Beta Believe It!
Goodbye CCO Tech, Hello Joot! Why We Changed Our Name
More Summer Reading
SEC Cyber-Probe: Round 3
Curated Articles for June, 2019 (Your Summer Reading)
If you hate changing your password, then read this article!
The Most Important Skills for a CCO
Tone at the Top - Culture of Compliance
Tips for a More Secure Client Relationship: A Commentary on OCIE's Risk Alert on Privacy and Data Protection
Farewell to our Super Intern: John Simmons
An Analysis of the SEC's Proposed Fund of Funds Rule
Can Technology Save an Industry?
CCO Tech Announces Advisory Board
CCO Tech Announces Release of Document Manager
CCO Tech - Now at Your Service
Got Distribution?
CCO Tech Expands its Executive Team
Calling For Beta Testers!
Financial Advisor: What You Personally Have To Know About Regulatory Compliance
CCO Tech Launches Integrated Compliance Calendar
An Insider View on How to Evaluate Software Providers
Corporate Governance Update: How Delaware law interacts with federal securities law
CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers
GDPR in a Nutshell and the Titan Platform*
Welcome to the crossroads of technology and investment management: IM Crossroads
Introduction to the Titan Platform – The New Kid on the Block
Introduction: Michelle Morgan and Titan Technology
The BIG Reveal: Welcome to the Future of Compliance
Teaser Alert! We are ending this summer with a big reveal!
The Liquidity Rule Finally Takes Shape!
Did AI just result in 13 settlements?
Is 2008 about to repeat?
IM Director's Recent Remarks on Standards of Conduct & Liquidity Risk Management
Peter Michael Allen, IM Cincy's First Guest Author
NYAG: Retail Investors Really Care about Active Share
8 Things You Need to Know about the Liquidity Rule
Useful Links Now Included on IM Cincy
SEC Decides it's Time to Help Investors Understand the Difference between Brokers and Advisers
Artificial Intelligence at Service Providers
Artificial Intelligence at the SEC
Liquidity is Out, ETFs are In
Starting a Compliance Program
The SEC is Nervous About Options
All posts
