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 […]

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 […]

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 […]