Joot Blog

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

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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Cybersecurity: A Question of When, Not If, Your Company will Fall Victim

Feb 20, 2020 1:30:00 PM / by Joot posted in Privacy, Security, Cybersecurity

Financial firms, including broker-dealers and registered investment advisers, are at a high risk of cybersecurity attacks primarily because they control both their own data and the sensitive data related to clients.

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Overhaul Your Privacy Policy, Part 2: Elements of a good privacy policy

Jan 24, 2020 1:00:00 PM / by Charles Black posted in Privacy, Security, Consumer Protection Act

Like most legal documents, privacy policies are fairly bland , and, let’s be honest, few people read them. But the recent enactment of the California Consumer Protection Act (“CCPA”) has Joot fielding privacy policy questions from clients and service providers alike. In our previous post - Is it time to overhaul your privacy policy and notice? - we discussed whether your firm must comply with the CCPA. Today, we spend some more time focusing on the elements of a good privacy policy.

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Is it time to overhaul your privacy policy and notice?

Jan 10, 2020 10:45:00 AM / by Bo J. Howell posted in Privacy, Security, Consumer Protection Act

California recently passed amendments to the California Consumer Protection Act (“CCPA”), which took effect on January 1, 2020! Under the CCPA, investment advisers that are located in or have clients in California may need to update their privacy policy and notices to comply with the new law.

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Tips for a More Secure Client Relationship: A Commentary on OCIE's Risk Alert on Privacy and Data Protection

May 9, 2019 11:00:00 AM / by Bo J. Howell posted in Privacy, Technology, Policies

The SEC’s Office of Compliance Inspections and Examinations (colloquially known as “OCIE” or just the “SEC” to many market participants) recently issued another risk alert. The topic this time was privacy policies under Regulation S-P. Below are examples of the most common deficiencies or weaknesses identified by OCIE staff in connection with the Safeguard Rule. If you have any questions about the risk alert or want to discuss your own privacy and data protection policies, contact CCO Tech here and we’ll gladly help you.

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GDPR in a Nutshell and the Titan Platform*

Sep 21, 2018 8:30:07 AM / by Michelle Morgan posted in EU, GDPR, Investment Advisers, Investment Managers, Privacy, Service Providers, Compliance, Compliance Technology, EU Regulations

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