April 13, 2023
Smartria Launches Creativity, Community & Compliance Podcast

Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–Smartria, a powerful, easy-to-use cloud-based software solution designed to meet the specialized compliance management needs of investment advisors, compliance teams, operations teams, consultants and attorneys, announces a new podcast series exploring the power of creativity to solve compliance and other business problems, the important role of communities within […]

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March 30, 2023
SmartRIA® Announces Second Strategic Investment Round from Dynasty Financial Partners and MarketCounsel

Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartRIA®, the leading compliance management software provider to registered investment advisors (RIAs), is excited to announce a second strategic investment round from Dynasty Financial Partners and MarketCounsel. This new investment underscores the partnership between the companies and reinforces their commitment to supporting SmartRIA’s continued expansion into enterprise compliance […]

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September 23, 2022
Smartria® Announces Partnership with StratiFi to Offer Innovative Risk and Compliance Management Solution

Originally posted to BusinessWire – An integration between award-winning platforms Smartria and StratiFi offers firms access to real-time integrated portfolio and employee risk dashboards within Smartria. Smartria®, a powerful, easy-to-use cloud-based software solution designed to meet the specialized compliance management needs of investment advisors, compliance teams, operations teams, consultants, and attorneys is proud to announce […]

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August 10, 2022
Smartria® and Kitces.com Partner to Offer IAR Continuing Education

The new collaboration between Smartria and Kitces.com is key to providing online continuing education at scale and meeting the new North American Securities Administrators Association’s (NASAA) Investment Adviser Representative Continuing Education (IAR CE) requirements. August 05, 2022 09:54 AM Eastern Daylight Time KNOXVILLE, Tenn.–Smartria®, a powerful, easy-to-use cloud-based software solution designed to meet the specialized […]

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February 21, 2022
SEC Investigation Will Become Speedier

SEC investigation will become quicker, according to its chair. According to a recent Reuters report SEC head Gary Gensler wants to “cut back” on meetings during which company executives and attorneys can make a defense to SEC staff during investigations. Foot-dragging is a common defense tactic, according to the report. “The defense bar often makes […]

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