July 10, 2024
Smartria and MirrorWeb Announce Partnership for Best-in-Class Compliance Solutions

Originally posted to PR Newswire –Together, the Companies Offer the Leading Integrated Compliance Program Management and Communications Supervision Platforms for RIA Firms KNOXVILLE, Tenn. and AUSTIN, Texas, July 10, 2024 /PRNewswire/ — Smartria, a leading provider of regulatory compliance software, and MirrorWeb, a leader in the digital archiving and supervision space, today announced that they have combined forces to deliver […]

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SEC Adopts New Regulation S-P Amendments

The SEC has announced adoption of amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information.  The goal is to protect individuals from harm when their personal information is involded in security incidents. “Over the last 24 years, the nature, scale, and impact of data breaches has transformed substantially. These amendments to […]

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SEC Publishes Guidance on Marketing Rule

Post contributions from Ara Jabrayan On April 17, 2024, the SEC provided Registered Investment Advisers (RIAs) with observations regarding firms’ compliance with the Marketing Rule. According to the announcement from the SEC’s Division of Examinations, the alert details the Division’s initial observations of investment adviser compliance with the following Rules: The Compliance Rule (Advisers Act […]

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June 18, 2024
Smartria and TradePMR, market leaders in compliance software and custodial services for RIAs, respectively, join forces to support RIA firm growth

In conjunction with TradePMR’s Synergy 2024 conference in Las Vegas, Smartria and TradePMR announced that the companies have partnered to integrate their platforms and deliver TradePMR custodial data into Smartria’s compliance software. TradePMR, which celebrated its 25th year during its annual Synergy conference in May, is a custodial services company focused on meeting the specific […]

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Altruist
June 5, 2024
Smartria’s Integration with Altruist is Now Live!

Introducing Next-Level Compliance & RIA Trade Monitoring We’re thrilled to announce a game-changing partnership between Smartria and leading RIA custodian Altruist with the integration of our compliance software into the Altruist platform. At Smartria, we’ve always believed that compliance should be simple, intuitive, and, above all, effective. Streamlining compliance through technology has been in our […]

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January 19, 2024
Mapping Compliance Priorities for 2024

There’s always something about the freshness of a new year. It’s like the nostalgia from the first day of school: opening a box of #2 pencils, kids laughing and leather squeaking from all the new tennis shoes. The new year is a chance to restart, well, everything. And sometimes that’s a really good thing. Coming […]

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December 18, 2023
Beyond the Basics: Elevating Your Compliance Strategy for the New Year

For wealth management firms, the start of a new year brings new goals and another chance to evaluate the robustness of your compliance program. While creativity might not dominate discussions in this space, the undeniable wins lie in adopting creative problem-solving approaches. This is an area Smartria’s Software as a Partnership® excels—assisting your compliance team […]

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November 8, 2023
Smartria Taps Industry Growth and User Experience Expert Patrick Hunt As New Chief Executive Officer

Veteran Entrepreneur and Tech Executive Joins Recently Appointed CRO David Coyle to Capitalize on Smartria’s Accelerated Momentum KNOXVILLE, Tenn. – Smartria, the leading provider of compliance software solutions for financial advisors, is excited to announce that Patrick Hunt is stepping into the role of CEO. Hunt takes the helm on the heels of industry veteran […]

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