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Karen Mauk

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Recent Posts

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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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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Straight Talk: A Discussion with Eric Powell, Part 2

May 25, 2021 12:09:09 PM / by Karen Mauk posted in Investment Advisers, Compliance Technology, Interview

Learn about Eric Powell's advice for financial advisers in leveraging compliance technology to grow their business and build trust with clients.

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Straight Talk: A Discussion with Eric Powell, Part 1

May 11, 2021 7:30:00 AM / by Karen Mauk posted in Investment Advisers, Compliance Technology, Interview

We were fortunate to sit down with Eric Powell, founder of RightPlan Financial and the Future Mill, to discuss what registered investment adviser (RIA) firms can do for their clientswhat it means to build trust, how to leverage technology to manage compliance, and other fun stuff like what roles firefighters and personal trainers play in the financial services industry.

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Reality Check: Introducing the New SEC Marketing Rule

May 4, 2021 7:30:00 AM / by Karen Mauk posted in SEC, SEC Rule, SEC Updates, Compliance

The new SEC marketing rule calls to mind the Peter Parker principle: "With great power comes great responsibility." (Any Spider-Man fans out there?) The marketing rule consolidates two outdated rules and accounts for updated technology, like social media. It was a long time coming, providing a much-needed update to advertising regulations in place since 1961 and cash solicitation rules in place since 1979Now, advisers can choose whether to implement the rule on or after the effective date of May 4, 2021, or wait until the compliance date of November 4, 2022. But here's the catch: advisers who act now must comply with the rule in its entirety; that is, no cherry-picking some rule requirements and ignoring others. It’s a big decision, and advisers aren’t taking it lightly.

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