Joot Blog

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

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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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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10 Tips for Navigating the U.S. Regulatory Landscape

Feb 1, 2022 4:46:48 PM / by Dina Tantra posted in SEC Examinations, Compliance Technology, Policies, Compliance Testing, Regulations, Managing Risk

Need help navigating the U.S. regulatory landscape? You’re not alone. Get our advice 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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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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Six Latest COVID-19 Risk Observations From the SEC

Aug 27, 2020 10:15:00 AM / by John Williams posted in financial crisis, Covid, Managing Risk

by John Williams
Director of Compliance Services at Joot

The Securities & Exchange Commission recently issued a Risk Alert to share some of the observations that the Office of Compliance Inspections & Examinations (OCIE) have seen during the COVID-19 pandemic.

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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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