Why RIA Compliance Is Vital and How to Make it Easier Compliance for Registered Investment Advisors (RIAs) is essential for building trust, protecting client data, and meeting SEC and FINRA regulations. Yet one thing about compliance is that it doesn’t get a lot of airtime—until there is an update, or (worst case scenario) something goes […]
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 ruling came some major changes to how advisory firms are able to navigate the digital landscape and attract new clients with social media […]
On July 19, flights were grounded and billboards in Times Square went blank as the world experienced a global tech outage like no other. Triggered by a single botched software update by one cybersecurity company (Crowdstrike), millions of computers—including those operating large-scale systems—crashed. More than an inconvenience for travelers and workers, this event was a […]
At the end of 2020, the Securities and Exchange Commission (SEC) finalized its reforms to the Investment Advisers Act, particularly as it applies to advertising and marketing. Since dubbed the “New Marketing Rule,” these changes were made in an effort to modernize the rulings and better address today’s marketing communication channels and opportunities. While launched […]
Originally posted to PR Newswire –Together, the Companies Offer the Leading Integrated Compliance Program Management and Communications Supervision Platforms for RIA Firms KNOXVILLE, Tenn. and AUSTIN, Texas, July 10, 2024 /PRNewswire/ — Smartria, a leading provider of regulatory compliance software, and MirrorWeb, a leader in the digital archiving and supervision space, today announced that they have combined forces to deliver […]
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. In 2013 the SEC brought action against Jarkesy and Patriot28 alleging that the firm had committed fraud under the Securities Act of 1933, […]
In conjunction with TradePMR’s Synergy 2024 conference in Las Vegas, Smartria and TradePMR announced that the companies have partnered to integrate their platforms and deliver TradePMR custodial data into Smartria’s compliance software. TradePMR, which celebrated its 25th year during its annual Synergy conference in May, is a custodial services company focused on meeting the specific […]
Introducing Next-Level Compliance & RIA Trade Monitoring We’re thrilled to announce a game-changing partnership between Smartria and leading RIA custodian Altruist with the integration of our compliance software into the Altruist platform. At Smartria, we’ve always believed that compliance should be simple, intuitive, and, above all, effective. Streamlining compliance through technology has been in our […]
What this industry clearly needs is a compliance hero. Let me explain… Opportunities for growth are reaching new heights, and the crucial role of compliance has taken center stage, as we heard from many conversations at the recent T3 Conference. With a projected 13% Compound Annual Growth Rate (CAGR) over the next few years, WealthTech […]
There’s always something about the freshness of a new year. It’s like the nostalgia from the first day of school: opening a box of #2 pencils, kids laughing and leather squeaking from all the new tennis shoes. The new year is a chance to restart, well, everything. And sometimes that’s a really good thing. Coming […]
