Joot Blog

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

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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Michigan Adopts New Continuing Education Requirements for IARs

May 17, 2022 3:35:20 PM / by Karen Mauk posted in Investment Advisers, SEC, Michigan

Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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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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Maryland Adopts New Continuing Education Requirements for IARs

Dec 21, 2021 3:02:50 PM / by Karen Mauk posted in Investment Advisers, SEC, Maryland

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

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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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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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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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New York Finally Requires Investment Adviser Representatives to Register

Jan 27, 2021 9:09:49 AM / by Joot posted in Investment Advisers, New York

All states except New York have long had an individual registration requirement for investment adviser representatives (IARs). But that’s about to change.

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Navigating Business Continuity Plans post COVID-19:  Five Issues Independent Directors Need to Consider

Jun 18, 2020 10:45:00 AM / by Peg McLaughlin posted in Investment Advisers, Cybersecurity, Covid

By: Peg McLaughlin

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Business Continuity Planning: a Real-World Test

Mar 23, 2020 5:20:55 PM / by Bo J. Howell posted in Investment Advisers, Investment Managers, Brokers, Compliance Testing, Coronavirus, BCP

Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.

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SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted By Coronavirus – But Should You Use It?

Mar 18, 2020 12:15:00 PM / by Charles Black posted in Investment Advisers, Investment Managers, SEC Updates, Coronavirus

On March 13, 2020, the SEC announced regulatory relief for investment advisers and investment companies who may be affected by the coronavirus.  The SEC is recognizing that limits on travel, reduced personnel and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.

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