August 10, 2020
The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and […]
Browse general insights on compliance, risk management, industry trends, operations, and regulatory developments.
April 14, 2020
When we’re all still stuck at home due to the COVID 19 pandemic, the last thing we need to add to our anxiety is a hacker sneaking off with clients’ data – […]
March 17, 2020
Hello, friends. I hope this coronavirus update from SmartRIA finds you healthy and safe at home. I’m writing to let you know a few things about how SmartRIA is handling coronavirus, […]
February 13, 2020
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 […]
January 31, 2020
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 […]
July 17, 2018
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 […]
June 16, 2016
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 […]
