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, […]

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 […]

The pandemic has accelerated fintech adoption, according to this recent column in Forbes and a report from the World Bank. “The study, which gathered data from 1,385 FinTech firms in 169 jurisdictions […]

As reported by Thinkadvisor.com A Colorado woman defrauded investors in a Ponzi-like scheme, according to a complaint filed by the SEC in October. The SEC has ordered the investment advisor, Ann Vick, […]

Bloomberg has called SEC Chief Gary Gensler’s enforcement an “everything crackdown,” so named because he’s taking on all aspects of private equity. Since he began leading the SEC, Gensler has introduced a […]