Joot Blog

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

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 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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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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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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Rethinking RIA Compliance: Seeing CCO Liability through a New Lens

Jul 6, 2021 3:34:32 PM / by Bo J. Howell posted in SEC, Compliance, Policies, RIA

Get insights into the unique challenges CCOs face and tips for rethinking RIA compliance through the Framework for CCO Liability in the Financial Sector.

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Crunch time: 10 Tips to Completing Your Form CRS

Jun 11, 2020 1:30:00 PM / by Alec Cheung posted in SEC, Compliance, Policies, Form CRS

With every new regulatory policy or form, the first time implementing it is always challenging. There are no models to follow or examples to guide you. Fortunately for our readers, we’ve cleared away some of the high brush to give you a clearer path.

Joot’s compliance experts have completed nearly two dozen Form CRSs for our clients. Based on that experience, here are 10 things to keep in mind.

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Testing 1-2-3

Oct 25, 2019 1:00:00 PM / by Bo J. Howell posted in Technology, Policies, beta, Compliance Testing

Having the right policies and procedures in place is a key component of an effective compliance program but it’s only part of the equation. Maintaining consistent adherence to these policies and procedures is equally important. One of the things our customers have asked for is a more efficient and automated way to do this. That’s why we are excited to announce the official release of our Testing Manager, the fourth component in our integrated web-based compliance platform for small- and mid-sized registered investment advisers (RIAs).

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A  Fresh Look at Vendor Due Diligence

Sep 26, 2019 12:44:00 PM / by Nick Horvath posted in Service Providers, Guest Author, Policies

By Nick Horvath

Vendor due diligence, an oldie… but a goodie.  Vendor due diligence has been a risk mitigation technique since the words Caveat Emptor were first spoken.  But what about today? How much emphasis should your firm place on vendor due diligence? Why should you care? Let us count the ways.

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Making Things Beta

Jul 25, 2019 4:30:00 PM / by Bo J. Howell posted in Policies, Joot, beta

There is still some time (but not too much time) to get yourself into the beta program for Joot's NEW Policies and Testing Manager

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You Beta Believe It!

Jul 15, 2019 9:53:00 AM / by Bo J. Howell posted in Policies, Joot, beta

It’s summertime, and it's hot, very hot! But here at Joot, we’ve been working on some pretty cool things, and today, we’re announcing the launch of our beta program for the latest addition to our CCO Tech compliance platform: Policies and Testing Manager! (We’re considering a cooler name for this great tool, so if you have suggestions, leave a comment below. Personally, I wanted to call it Mjöllnir, but that doesn’t roll off the tongue.)

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SEC Cyber-Probe: Round 3

Jun 13, 2019 2:30:00 PM / by Bo J. Howell posted in SEC, Technology, Policies, Security

Recent activity by the Securities and Exchange Commission (“SEC”) highlight its continued focus on cybersecurity. In a Risk Alert issued by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”), the staff highlighted weak controls related to safeguarding customer information in network storage, including third-party providers.

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