Joot Blog

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

Announcing Joot’s Derivatives Rule Board Solution

Jun 21, 2022 5:16:52 PM / by Bo J. Howell posted in SEC Rule, Board of Directors, Compliance, Derivatives, Managing Risk

Get a detailed breakdown of the Derivatives Rule Board Solution offered by Joot, FinTech Law, and EQ Risk Management Consulting.

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Announcing a Strategic Partnership That Offers Timely SEC Derivatives Rule Compliance

Jun 14, 2022 4:46:17 PM / by Bo J. Howell posted in Investment Advisers, Investment Managers, SEC Rule, Board of Directors, Compliance, Derivatives, Managing Risk

Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.

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

Feb 24, 2022 11:46:48 AM / by Attilio Veneziano posted in EU, Investment Managers, Compliance, EU Regulations, Guest Author

Struggling to overcome distribution obstacles in Europe as a U.S. investment manager? Let us guide you through this tough terrain.

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

Jan 25, 2022 12:52:56 PM / by Parham Nasseri posted in Fiduciary, Investment Advisers, Compliance, Guest Author, Policies, Regulations, RIA, DOL Updates

Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.

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Get the latest facts on the new SEC marketing rule and understand what SEC guidance will be modified or withdrawn on the November 2022 compliance date.

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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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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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Reviewing and Approving Ads under the New SEC Marketing Rule

Aug 24, 2021 11:43:05 AM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Struggling to implement an ad review and approval process in compliance with the new SEC marketing rule? Get help here.

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Take Note: Form ADV, Recordkeeping, and the New SEC Marketing Rule

Aug 10, 2021 12:22:35 PM / by Cynthia Custer posted in SEC, SEC Rule, SEC Updates, Compliance

Get tips for meeting Form ADV and recordkeeping requirements under the new SEC marketing rule.

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Reality Check: Form CRS Failures and SEC Enforcement Actions

Aug 3, 2021 2:14:00 PM / by Alec Cheung posted in Enforcement, SEC, Compliance, Policies, RIA, Form CRS

Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.

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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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Reality Check: Hypothetical Performance and the New SEC Marketing Rule

Jul 13, 2021 3:29:54 PM / by Charles Black posted in SEC, SEC Rule, SEC Updates, Compliance

Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.

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