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 […]
September 23, 2022
Originally posted to BusinessWire – An integration between award-winning platforms Smartria and StratiFi offers firms access to real-time integrated portfolio and employee risk dashboards within Smartria. Smartria®, a powerful, easy-to-use cloud-based software […]
August 10, 2022
The new collaboration between Smartria and Kitces.com is key to providing online continuing education at scale and meeting the new North American Securities Administrators Association’s (NASAA) Investment Adviser Representative Continuing Education (IAR […]
February 21, 2022
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 […]
February 14, 2022
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 […]
February 11, 2022
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, […]
February 4, 2022
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 […]
January 27, 2022
In his investor advisory committee remarks on Dec. 2 SEC Chair Gary Gensler mentioned the founding of the SEC and its purpose, saying, “The basic bargain is this: Investors get to decide […]
January 25, 2022
Compliance support and what a CCO needs to do the job well are in the news. Compliance Week’s Aaron Nicodemus examined the issue in a recent article. While compliance is a firm-wide […]
