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SEC Compliance Services

With the help of FinTech Law and our partners at Joot, feel reassured that you are always up to date with all regulations in compliance with the SEC.

Like it or not, SEC compliance is a part of doing business and an important element in maintaining client and investor trust in financial advisers. But we know keeping on top of compliance isn’t easy—especially if you’re a CCO with other key responsibilities at your advisory firm. Negative actions from the SEC affect both you and your investors and can be incredibly costly. You need a trusted compliance consultant by your side.

Our SEC Compliance Partner: Joot

That’s why we partner with Joot. Joot gives you the technology needed to make compliance more efficient and streamlined than ever before. Joot can also provide personal, tailored SEC compliance services when you need that extra help. Plus, if you’re a compliance consultant (or a firm currently using one to handle compliance) our technology can be an even bigger game changer. Through our advanced learnings and expertise, Joot revolutionizes compliance for good.

Let’s Talk SEC Compliance

Partnering with FinTech Law and Joot on SEC compliance can help you take your firm to the next level. THe FinTech team has extensive experience with SEC regulations and a large variety of services for RIAs. Not based in the US? No problem! FinTech Law has partners in foreign jurisdictions, including the Cayman Islands.


It's time to stop playing compliance catch-up. FinTech Law and our partners at Joot can help you navigate the murky waters of SEC Compliance. Don't wait. Give our team a call today.

Let’s Talk SEC Compliance