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 […]
October 29, 2019
Physical robberies of financial institutions are becoming less common, but cyber attacks are only getting more common. Today, everyone understands that protecting your clients and company is paramount to staying in any […]
September 9, 2019
The data governance platform will be integrated into SmartRIA’s compliance management solution platform to better support customers’ needs. Knoxville, TN, Sept. 9, 2019: SmartRIA and Greytwist have announced today the acquisition […]
May 14, 2019
Being a registered investment advisor isn’t easy. You may have chosen this profession because you have great business and investment sense, a drive to help others manage their wealth, and a desire […]
April 26, 2019
On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and […]
April 22, 2019
SmartRIA today announced an integration with SS&Cs’ Black Diamond Wealth Platform to significantly streamline the surveillance of compliance activities for well-established RIA firms. The direct connection between the two systems allows RIA […]
March 29, 2019
Investment advisers may have noticed the SEC’s recent Share Class Selection Disclosure Initiative and thought they had nothing to learn from the 79 enforcement actions. The reality is that even investment advisers […]
January 3, 2019
The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes annually its examination priorities to promote transparency and provide insights into the areas it believes pose a heightened risk to investors or […]
