Joot Blog

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

How Technology Helps CCOs Manage RIA Compliance

Apr 13, 2021 7:30:00 AM / by Alec Cheung posted in Compliance Technology, Technology

Think back to when you were a kid. You could take the time to learn new skills. Responsibilities were minimal. Everything seemed possible. Now, time is a valuable commodity. Responsibilities compound. And it often feels impossible to keep up with everything you need to do. For chief compliance officers (CCOs), busy schedules and paperwork pileups can be debilitating. These pitfalls can easily erode the hard work you consistently put into your business.

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Virtualization for Startups and Small (or not so small) Businesses

Jun 25, 2020 11:14:00 AM / by Charles Hamparian posted in Technology, Virtualization, Cloud Computing

By Charles Hamparian
CEO of Sentience

In this age of cloud computing, smaller businesses have had increasing access to enterprise-class virtualization tools that were usually reserved for the largest organizations. By utilizing these protocols your organization can have the ability to work compliantly and remotely from anywhere in the world. Virtualizing your business means increased uptime and scalability while also drastically reducing overall running costs. A solid foundation on which to build your virtualized business should include the following:

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Rise of the Machines, Part 3: How big data is changing more than just portfolio management

Dec 5, 2019 11:30:00 AM / by Bo J. Howell posted in Compliance, Technology, John Simmons


By Bo Howell 

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Rise of the Machines, Part 2: Changing Portfolio Management

Nov 21, 2019 12:30:00 PM / by Bo J. Howell posted in Guest Author, Technology, FinTech, John Simmons


By John Simmons

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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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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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If you hate changing your password, then read this article!

May 30, 2019 8:40:00 AM / by Bo J. Howell posted in Technology, Security

Do you hate changing passwords? [heads nodding] Does it seem like your company forces you to change your password every other week? [heads nodding; tempers rising] Well good news, the National Institute of Standards of Technology (“NIST”) says you don’t need to change your password until it is compromised, which is like saying you don’t need to lock your door until a burglar has robbed you. Now isn’t that nice.

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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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Can Technology Save an Industry?

Apr 5, 2019 12:05:00 PM / by Bo J. Howell posted in Investment Managers, mutual funds, Technology

At the Investment Company Institute’s Mutual Fund and Investment Management Conference, which was held in mid-March, Dalia Blass, the SEC’s Division of Investment Management, noted in her keynote speech that the regulator is concerned that competitive pressures are eliminating small fund families from the industry. As a result, the SEC is going to research whether barriers exist in the industry that prevents small fund families from competing against the largest players.   

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CCO Tech Announces Release of Document Manager

Mar 19, 2019 12:47:19 PM / by Alec Cheung posted in Technology, Document Manager


Cincinnati, OH (March 19, 2019) - CCO Tech announces the release of its Document Manager, the third module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs). Document Manager integrates with CCO Tech’s SEC Filing Manager and Compliance Calendar to form a comprehensive solution that helps RIAs manage their compliance processes and documentation.

Many Chief Compliance Officers (CCOs) at small- to mid-sized RIAs rely on manual processes or outdated tools to complete their regulatory filings. CCO Tech was founded to simplify, automate, and ultimately enhance the CCO’s ability to properly and cost-effectively manage the compliance process and reduce regulatory risk.

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CCO Tech - Now at Your Service

Mar 14, 2019 1:00:00 PM / by Bo J. Howell posted in Service Providers, Announcement, Compliance Technology, Technology

Ever since I founded CCO Tech, we’ve been talking about our proprietary technology and how deeply committed we are to helping you remain independent, protect your reputation, keep your house in order, and achieve peace of mind that your compliance program is buttoned up and exam ready. But we heard from so many of you over the past few months that technology is only part of the solution. Often, you also need a reliable partner, maybe even a compliance steward. Our clients and beta testers have provided great feedback on our system, but they’ve asked for more.

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Calling For Beta Testers!

Feb 7, 2019 11:02:32 AM / by Bo J. Howell posted in Technology

With the general availability of our SEC Filing Manager and Compliance Calendar modules, and the forthcoming release of Document Manager, CCO Technology is looking for several beta testers to provide user feedback.

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