December 8, 2021
The end of the year is a good time to assess the strength of your compliance program. SmartRIA’s Software as a Partnership® can help your compliance team keep tabs on the actions […]
December 7, 2021
SmartRIA’s End-to-End Solution Helps Financial Advisory Practices Simplify & Optimize Compliance Workflows MIAMI BEACH, Fla., Dec. 7, 2021 /PRNewswire/ — Dynasty Financial Partners (Dynasty) and MarketCounsel, together, announced a strategic partnership with SmartRIA at The […]
December 2, 2021
Gurbir Grewal, the new director of the Division of Enforcement for the SEC, signaled several potential changes in the SEC’s enforcement priorities under his new leadership. His division would “recommend aggressive use” […]
