Joot Blog

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

Bo J. Howell


Recent Posts

Weighing the Pros and Cons of Regtech

Apr 26, 2022 12:56:08 PM / by Bo J. Howell posted in Compliance Technology, FinTech, RegTech, SMBs

Wondering about the strengths and weaknesses of regtech products? Get our insights here.

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How Regtech Will Impact the Legal Industry

Apr 5, 2022 1:00:51 PM / by Bo J. Howell posted in FinTech, RegTech, Cryptocurrency, Legal Industry

What does regtech collaboration across the regulatory ecosystem involve? Get our take here.

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Regtech Rising

Mar 29, 2022 3:21:44 PM / by Bo J. Howell posted in Compliance Technology, FinTech, RegTech, SMBs, KYC

Need help navigating the quickly evolving regtech market? Get some clarity here.

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Fintech and Regtech: A Tale of Two Techs

Mar 22, 2022 2:33:53 PM / by Bo J. Howell posted in Artificial Intelligence, Compliance Technology, FinTech, RegTech, SMBs

Wondering about the relationship between fintech and regtech, and the future of both? Get our insights here.

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The Queen City of Crypto and the Regulatory Landscape

Feb 8, 2022 3:24:54 PM / by Bo J. Howell posted in FinTech, Managing Risk, Cryptocurrency

Confused by the complex regulatory landscape of cryptocurrencies and other digital assets? Get our in-depth analysis here.

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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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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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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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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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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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Leveraging Technology with the New SEC Marketing Rule

May 18, 2021 3:17:50 PM / by Bo J. Howell posted in SEC, SEC Rule, SEC Updates, Artificial Intelligence, Compliance Technology

Our last post on the new SEC marketing rule covered some basics, including the newly expanded definition of advertising and the seven general prohibitions that apply to all ads. In this post, we describe key ways technology can be leveraged to implement the new rule. Upcoming posts in this series will examine testimonials and endorsements, presentation of performance results, third-party ratings, record-keeping and Form ADV requirements, review and approval of advertisements, and overall best practices.

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