Mapping Compliance Priorities for 2024

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 […]

Beyond the Basics: Elevating Your Compliance Strategy for the New Year

For wealth management firms, the start of a new year brings new goals and another chance to evaluate the robustness of your compliance program. While creativity might not dominate discussions in this space, the undeniable wins lie in adopting creative problem-solving approaches. This is an area Smartria’s Software as a Partnership® excels—assisting your compliance team […]

Using Comedy to Make Compliance Compelling with Alex Egan

Originally posted to Nasdaq.com – Creativity, Community, and Compliance is a new podcast from Smartria about the power of creativity in the financial services compliance profession. In each episode, Smartria CEO Mac Bartine and Director of Partnerships Rebekah Gucciardo discuss how creativity can be used to solve problems, create new solutions, and foster a sense of […]

Strategic Partnerships as a Business Model

Originally posted to Nasdaq.com – In a constantly shifting business landscape driven by hyper-competition and accelerating rates of change, company managements from small boutique firms to large enterprises increasingly are realizing that no firm, regardless of size, can thrive in isolation. They need to develop strategic partnerships that form an active ecosystem of aligned firms. […]

Smartria Launches Creativity, Community & Compliance Podcast

Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–Smartria, a powerful, easy-to-use cloud-based software solution designed to meet the specialized compliance management needs of investment advisors, compliance teams, operations teams, consultants and attorneys, announces a new podcast series exploring the power of creativity to solve compliance and other business problems, the important role of communities within […]

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 […]