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 […]
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
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 […]
January 19, 2022
It’s not just eggs and milk that are getting more expensive. In one of the regulator’s first notices in 2022, SEC penalties will increase due to inflation. The change is based on […]
December 8, 2021
The end of the year is a good time to assess the strength of your compliance program. SmartRIA’s Software as a Partnership® can help your compliance team keep tabs on the actions […]
December 7, 2021
SmartRIA’s End-to-End Solution Helps Financial Advisory Practices Simplify & Optimize Compliance Workflows MIAMI BEACH, Fla., Dec. 7, 2021 /PRNewswire/ — Dynasty Financial Partners (Dynasty) and MarketCounsel, together, announced a strategic partnership with SmartRIA at The […]
December 2, 2021
Gurbir Grewal, the new director of the Division of Enforcement for the SEC, signaled several potential changes in the SEC’s enforcement priorities under his new leadership. His division would “recommend aggressive use” […]
October 25, 2021
The North American Securities Administrators Association (NASAA) published its annual enforcement report on Sept. 29. In the report, state securities regulators conducted an increasing number of investigations and enforcement actions related to […]
October 18, 2021
Tech adoption can be a huge issue for RIA companies, and virtually any business these days. If the pandemic has taught us anything, it’s that most people can quickly adopt new tech. […]
