As a registered investment advisor, whether new or well-established, you probably hear the word “compliance” on a daily basis. But what’s the best way to maintain compliance, why should you even bother with it (okay, yes you probably already know that one), and where did it originate? These are all great questions, and lucky for […]
As the most complete and comprehensive RIA compliance platform on the market, SmartRIA consistently aims to expand and adapt to meet user needs before they are even an issue. That’s exactly what our company focused on in 2019 — and with our record revenue growth, this strategy will continue to allow us to be your […]
On July 10, 2018, the SEC settled enforcement actions brought against two SEC-Registered Investment Advisers (RIAs), three Investment Adviser Representatives (IARs), and a marketing consultant, for their involvement in violating the Testimonial Rule using social media and the Internet. Rule 206(4)-1(a)(1) under the Investment Advisers Act sets forth what types of advertisements are prohibited. The […]
Friends and colleagues: Thank you for taking a moment to visit us at SmartRIA, Automated Compliance Software. We are the first, and currently, the only, truly automated compliance software available on the market. For the compliance portion of our software alone, SmartRIA is a huge time, stress, and money saver for our users. We know, […]
