Joot Blog

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

Opportunities and Challenges to Adding Digital Assets to Your Practice

May 26, 2022 7:00:00 AM / by Joot & MeetAmi posted in Guest Author, FinTech, Managing Risk, RegTech, Cryptocurrency

Wondering about the opportunities and challenges around digital asset adoption for investment advisory firms? Get our insights here.

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Transforming Data into Actionable Intelligence in Regulated Industries

Mar 15, 2022 2:42:29 PM / by Bo J. Howell & Cal Al-Dhubaib posted in Artificial Intelligence, Compliance Technology, Guest Author, FinTech, RegTech

How can AI benefit organizations in regulated industries? Put trust at the center of your AI strategy to transform your data into actionable intelligence.

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Taking on Tokenization

Mar 8, 2022 4:25:08 PM / by Michelle Morgan & Bob Taylor posted in Guest Author, FinTech, Managing Risk, RegTech, Cryptocurrency

Need help navigating the complexities of tokenization and automating KYC? Get the expert advice of our guest bloggers here.

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

Dec 14, 2021 2:11:23 PM / by Grier Rubeling posted in Investment Advisers, Compliance Technology, Guest Author, Policies

Struggling to maintain and implement a policies and procedures manual that's specific to your RIA business? Get help here from our special guest author.

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Will AI Revolutionize Regtech? Part 4: If You Do the Right Thing

Oct 12, 2021 2:47:40 PM / by Bo J. Howell & Cal Al-Dhubaib posted in Artificial Intelligence, Compliance Technology, Guest Author, FinTech, RegTech

Get advice for ethically developing and implementing AI projects that make work more fulfilling and build trust with your clients.

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Will AI Revolutionize Regtech? Part 3: If You Build It

Sep 28, 2021 4:25:57 PM / by Bo J. Howell & Cal Al-Dhubaib posted in Artificial Intelligence, Compliance Technology, Guest Author, FinTech, RegTech

Realize the value of building AI-driven fintech and regtech solutions and get practical advice for starting your own AI project.

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5 Common Mistakes Advisers Make When Using Compliance Technology

Jun 22, 2021 12:51:16 PM / by Richard Chen posted in Investment Advisers, Compliance Technology, Guest Author

Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.

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How Technology is Helping Business Finance

Sep 3, 2020 2:00:00 PM / by Lucy Lee posted in Guest Author, FinTech


by Lucy Lee

Financial technology or fintech for short is extremely beneficial for businesses due to its widespread utility. It refers to software, algorithms, and applications that are used on desktop and mobile platforms. These are used to manage investments, deposit checks, move money across accounts, and make payments. Without being aware of it, almost all consumers use fintech on a daily basis. However, it also provides many benefits to businesses for back-end and front-end processes. For instance, Bo J. Howell explains how automation has lowered transaction costs for investors, such as zero-fee ETFs, giving some businesses a competitive edge. In addition, it gives investors more options for managing their assets. It is also helping business in many other ways:

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Managing Risk

Aug 13, 2020 2:00:00 PM / by Charlene Aldridge posted in Guest Author, Covid, Managing Risk

Foreword by Dina Tantra:
As we all continue to navigate the choppy waters of the global pandemic, managing and mitigating risk is yet another cause for sleepless nights.  Our guest blogger, Charlene Aldridge, CEO of Aldridge, Kerr & Associates, helps us to approach this through "Doable, Chewable Chunks ®."  Charlene walks us through the way to identify, evaluate, prioritize and mitigate risk. Charlene's boutique firm assists clients with operational needs through optimizing process and procedures.
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CCPA Enforcement Begins July 1 – Are You Ready?

Jun 5, 2020 10:30:00 AM / by Michael Williams posted in Privacy, Guest Author, california consumer privacy act - ccpa

There are many aspects to compliance and from time to time, I like to bring in complementary experts to share their perspectives and knowledge. This week, I’m delighted to have Michael Williams from Clym (pronounced like “climb”) tell you more about data privacy on your website and an important new regulation from California that can affect any firm in the country. I hope you enjoy this post. After reading, please contact us or Michael if you think this could be an issue for your firm. – Bo Howell


by Michael Williams of Clym

Here we are, less than one month from the date when the California Attorney General can start enforcing the California Consumer Privacy Act (“CCPA”). Hopefully by now you know if your business must comply with the CCPA, if not, check out our blog post from January—Is it time to overhaul your privacy policy and notice? If your firm is subject to the CCPA and you are not prepared to comply with the law, don’t worry! Joot and Clym have you covered!

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