August 28, 2024
This recognition, along with our 198% growth rate over the past three years, speaks to our commitment to developing the highest-quality compliance solutions for RIAs. Knoxville, TN – Smartria has been recognized […]
Browse general insights on compliance, risk management, industry trends, operations, and regulatory developments.
August 21, 2024
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 […]
February 27, 2023
As a financial advisor, you know that maintaining federal regulations and client expectations are paramount to the success of your firm. But did you know that creating a culture of compliance is […]
August 21, 2021
The SEC has been watching wrap fee programs for quite a while. From 2017-19, the SEC’s annual examination priorities named wrap fee programs as putting investors at risk. The SEC’s Division of […]
August 4, 2021
On July 26, 2021, the SEC announced that 21 Registered Investment Advisers (RIAs) settled charges alleging that they failed to file and deliver their client relationship summaries, known as Form CRS, in […]
February 13, 2021
The New York State Department of Law (the “Department”) recently adopted new regulations that went into effect on February 1, 2021. These new regulations govern the registration and examination requirements for investment […]
December 29, 2020
Guest post by Ara Jabrayan On December 22, 2020, the SEC enacted the new Marketing Rule, which will have an enormous impact on Registered Investment Advisers (RIAs). The new rule will replace the […]
November 16, 2020
Since our inception in 2016, SmartRIA’s mission has been to be the best software company in the world at simplifying compliance for wealth managers. It’s a tall order, but one that we […]
October 21, 2020
In this article, Blain Wease, President of Provincial Development Group, and Mac Bartine, CEO of SmartRIA, explore the 5 dimensions of growth and how a culture of compliance can help to support […]
