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 […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
July 10, 2024
Originally posted to PR Newswire –Together, the Companies Offer the Leading Integrated Compliance Program Management and Communications Supervision Platforms for RIA Firms KNOXVILLE, Tenn. and AUSTIN, Texas, July 10, 2024 /PRNewswire/ — Smartria, a leading provider of […]
June 29, 2024
On June 27, 2024, the Supreme Court rejected the SEC‘s use of penalizing fraud defendants in civil cases without a trial. The decision comes in response to SEC action taken in 2013. […]
June 27, 2024
The SEC has announced adoption of amendments to Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information. The goal is to protect individuals from harm when their personal information is […]
June 27, 2024
Post contributions from Ara Jabrayan On April 17, 2024, the SEC provided Registered Investment Advisers (RIAs) with observations regarding firms’ compliance with the Marketing Rule. According to the announcement from the SEC’s […]
June 18, 2024
In conjunction with TradePMR’s Synergy 2024 conference in Las Vegas, Smartria and TradePMR announced that the companies have partnered to integrate their platforms and deliver TradePMR custodial data into Smartria’s compliance software. […]
June 5, 2024
Introducing Next-Level Compliance & RIA Trade Monitoring We’re thrilled to announce a game-changing partnership between Smartria and leading RIA custodian Altruist with the integration of our compliance software into the Altruist platform. […]
February 15, 2024
What this industry clearly needs is a compliance hero. Let me explain… Opportunities for growth are reaching new heights, and the crucial role of compliance has taken center stage, as we heard […]
January 19, 2024
There’s always something about the freshness of a new year. It’s like the nostalgia from the first day of school: opening a box of #2 pencils, kids laughing and leather squeaking from […]
