October 21, 2020
In this article, Blain Wease, President of Provincial Development Group, and Mac Bartine, CEO of SmartRIA, explore the 5 dimensions of growth and how a culture of compliance can help to support […]
August 10, 2020
The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and […]
August 4, 2020
An upcoming audit often causes sleepless nights for even the most capable professionals. With an increase of SEC exams, it’s not a question of if your firm will be audited but when. […]
July 28, 2020
Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software […]
July 3, 2020
On June 23, 2020, the SEC published a Risk Alert, which summarized compliance issues discovered during hundreds of examinations of investment advisers that manage private equity funds or hedge funds. Examiners from […]
April 14, 2020
When we’re all still stuck at home due to the COVID 19 pandemic, the last thing we need to add to our anxiety is a hacker sneaking off with clients’ data – […]
March 17, 2020
Hello, friends. I hope this coronavirus update from SmartRIA finds you healthy and safe at home. I’m writing to let you know a few things about how SmartRIA is handling coronavirus, […]
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 […]
