Joot Blog

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

Michigan Adopts New Continuing Education Requirements for IARs

Weighing the Pros and Cons of Regtech

SEC Examination Priorities for 2022

How Regtech Will Impact the Legal Industry

Regtech Rising

Fintech and Regtech: A Tale of Two Techs

Transforming Data into Actionable Intelligence in Regulated Industries

Taking on Tokenization

European Distribution for U.S. Managers: The Compound Effect

The Queen City of Crypto and the Regulatory Landscape

10 Tips for Navigating the U.S. Regulatory Landscape

Top 5 Highlights of the New DOL PTE 2020-02 Requirements

Top 10 Issues to Consider When Registering a Digital Asset Fund

Getting Up to Speed with Cryptocurrency

Maryland Adopts New Continuing Education Requirements for IARs

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

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

Announcing JootAI Powered by MySocialPulse

Straight Talk: A Discussion with Divya Prashanth and Janine Miles

Reality Check: Observations from Exams in the RIC Initiatives

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