Smart RIA
SEC Publishes Most Frequent Best Execution Deficiencies Found by Examiners

On July 11, 2018, the Office of Compliance Inspections and Examinations (OCIE) released a risk alert dealing with the most frequent best execution deficiencies identified during investment adviser exams. The risk alert can help Registered Investment Advisers (RIAs) improve their best execution policies and procedures and avoid potential problems during their own examinations. The duty […]

Smart RIA
Frequent Advisory Fee and Expense Compliance Issues

On April 12, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) issued a National Exam Program risk alert in which it outlined the most frequent advisory fee and expense compliance issues identified in deficiency letters sent to SEC-registered investment advisers. To read the full risk alert, click here. The six most frequent areas of concern […]

Compliance Budgets Up by 9%, But CCOs Say The Real Cost is Time
Compliance Budgets Up by 9%, But CCOs Say the Real Cost is Time

It’s been a disappointing year for those who thought the new administration would quickly roll back regulations and oversight in the financial industry, including state and SEC compliance for Registered Investment Advisors. This time last year, some RIAs were hoping to decrease their compliance budgets and apply those dollars to other efforts. Contrary to expectations, […]

Manage More Clients in Less Time with This RIA Software Tool
Manage More Clients in Less Time with this RIA Software Tool

Working  as a RIA compliance consultant, you need to account for every step of the process, including new client on-boarding, compliance tasks, document storage, and employee management, to audit preparation. You’ll also encounter last-minute items that constantly get added to your checklist. If you’re not using an RIA software solution that makes your job easier, faster, […]

Tools for RIA Compliance Consultants
3 Tools for RIA Compliance Consultants

When you’re an RIA compliance consultant, chances are you’ve got more than one job title. In a small business especially, you might also serve as the company CEO, CCO, accountant, social media administrator, human resources representative, or office manager. To perform any or all of these duties well, you need easy-t0-use tools for RIA compliance […]

Welcome to Smart RIA
Release Notes for November 2017

SmartRIA is always working to improve our products and services to make sure our users have the best experience with our software.  Here’s what we did to update our software in November.  If you have features you’d like us to add, let us know. We’d love to hear from you. We’re very excited about our new Advanced […]

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