Amy Easterly, Author at Smartria

August 10, 2022

Amy Easterly
News

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 […]

February 21, 2022

Amy Easterly
Compliance

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 […]

February 14, 2022

Amy Easterly
Compliance

How to Do Digital Transformation the Right Way With Fintech

The pandemic has accelerated fintech adoption, according to this recent column in Forbes and a report from the World Bank. “The study, which gathered data from 1,385 FinTech firms in 169 jurisdictions … showed most types of FinTech firms reporting strong growth for the first half of 2020 compared to the same period in 2019, […]

February 11, 2022

Amy Easterly
Compliance

Advisor owes $1.2 million after SEC found Ponzi-like scheme

As reported by Thinkadvisor.com A Colorado woman defrauded investors in a Ponzi-like scheme, according to a complaint filed by the SEC in October. The SEC has ordered the investment advisor, Ann Vick, to pay $1.2 million. The SEC accused her of fraudulently raising about $3.2 million from nearly two dozen investors for a pooled investment […]

February 4, 2022

Amy Easterly
Compliance

Gensler’s “Everything Crackdown” – Is Your Compliance Software Ready?

Bloomberg has called SEC Chief Gary Gensler’s enforcement an “everything crackdown,” so named because he’s taking on all aspects of private equity. Since he began leading the SEC, Gensler has introduced a robust agenda of 49 proposals, many of which increase compliance loads for RIAs. There’s no question that CCOs and their teams are now […]

January 27, 2022

Amy Easterly
Compliance

Cryptocurrency and Senior Protection are SEC Focus Areas

In his investor advisory committee remarks on Dec. 2 SEC Chair Gary Gensler mentioned the founding of the SEC and its purpose, saying, “The basic bargain is this: Investors get to decide what risks they wish to take. Companies that are raising money from the public have an obligation to share full and fair information […]

January 25, 2022

Amy Easterly
Compliance

How Much Compliance Support are CCOs Getting, Anyway?

Compliance support and what a CCO needs to do the job well are in the news. Compliance Week’s Aaron Nicodemus examined the issue in a recent article. While compliance is a firm-wide concern for RIAs, there may be some businesses where compliance does not have the horsepower to cover the needs that regulators set upon […]

January 19, 2022

Amy Easterly
Culture of Compliance

SEC Penalties Will Increase Due to Inflation

It’s not just eggs and milk that are getting more expensive. In one of the regulator’s first notices in 2022, SEC penalties will increase due to inflation. The change is based on the difference between the consumer price index from October 2020 to 2021. For penalties levied by the SEC, that change will mean at […]

December 8, 2021

Amy Easterly
Compliance

Meet Your End of Year Compliance Needs

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 of your company and organize compliance to make it easy. Below are some things to keep in mind as 2022 approaches: Prior to […]

December 7, 2021

Amy Easterly
Compliance

Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

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 MarketCounsel Summit today. SmartRIA is a provider of comprehensive technology solutions for automating and streamlining compliance for registered investment advisers (RIAs). “When we […]

Smartria® and Kitces.com Partner to Offer IAR Continuing Education

SEC Investigation Will Become Speedier

How to Do Digital Transformation the Right Way With Fintech

Advisor owes $1.2 million after SEC found Ponzi-like scheme

Gensler’s “Everything Crackdown” – Is Your Compliance Software Ready?

Cryptocurrency and Senior Protection are SEC Focus Areas

How Much Compliance Support are CCOs Getting, Anyway?

SEC Penalties Will Increase Due to Inflation

Meet Your End of Year Compliance Needs

Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

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