Joot Blog

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

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.

Read More

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.

Read More

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.

Read More

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.

Read More

The True Cost of Regulatory Non-Compliance

May 14, 2020 4:30:00 PM / by Alec Cheung posted in SEC, Compliance, Regulations, RIA

What is the cost of non-compliance? How much should an RIA spend on compliance? Are these compliance tools and services worth it? The answers to these questions become clearer when we look at both the direct and indirect impact of examination and enforcement actions taken by the SEC.

Read More

Who Starts a Business During a Pandemic?

May 7, 2020 3:00:00 PM / by Jody Foster posted in recession, Guest Author, RIA, Jody Foster

By Jody Foster, President of Symphony Consulting

Foreword by Bo Howell:
I’m delighted to feature guest bloggers from time to time, especially when it’s someone that brings a complementary perspective to our compliance expertise. Jody Foster has been a supporter of Joot from our earliest days. She discusses some of the considerations to keep in mind if you’re planning to start your own fund or RIA.
Read More

Joot Expands Team and Adds Broker-Dealer Compliance Services

Apr 9, 2020 10:33:20 AM / by Bo J. Howell posted in Joot, John Williams, Broker-Dealer, RIA

As we continue to enhance our SaaS-based platform for automating compliance, we are also building out our services team. Today, another industry veteran joins Joot. John Williams, Director of Compliance Services, brings nearly three decades of regulatory compliance experience to Joot, with the last 14 as a chief compliance officer for a Broker-Dealer / RIA. He also has expertise in international operations, business continuity planning, cybersecurity and banking.

Read More