July 31, 2025
Over the past year, many advisory firms have been quietly preparing for a major regulatory shift. Drafting AML policies, vetting service providers, reworking onboarding flows—it’s been a slow burn of behind-the-scenes work […]
September 10, 2024
The much-anticipated SEC Marketing Rule went into effect in 2021, though many financial professionals are still testing the waters when it comes to implementing previously unavailable marketing strategies. With the new marketing […]
June 29, 2024
On June 27, 2024, the Supreme Court rejected the SEC‘s use of penalizing fraud defendants in civil cases without a trial. The decision comes in response to SEC action taken in 2013. […]
June 27, 2024
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 […]
June 27, 2024
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 […]
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 […]
November 6, 2023
It’s no secret that technology is key to helping advisors grow their businesses. The right tools, coupled with best practices, can drive efficiency and allow advisors to more effectively leverage their expertise—resulting […]
October 9, 2023
The latest SEC rules have an underlying theme: they all include requirements for covered entities to respond to and report cybersecurity incidents. This also includes requirements to have a written incident response […]
September 28, 2023
KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartriaⓇ, a trailblazer in compliance management solutions for Registered Investment Advisors (RIAs), hybrid RIAs and RIA compliance consultants, is proud to announce the launch of its new solution, Cybersecurity Focus, […]
