Insights - Smartria

December 7, 2021

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Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

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

Published by Mark Cunha

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SEC Policy Shifts Include Potential Admissions of Wrongdoing

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

Published by Mark Cunha

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Alert: NASAA Annual Enforcement Report Released

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

Published by Mark Cunha

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9 Mistakes to Avoid When Learning Fintech

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. […]

October 4, 2021

Published by Mark Cunha

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SmartRIA Gets an Elegant New Look and Feel

SmartRIA’s development team has been working for months on refreshing the look and feel of our software. These changes make using the software a more pleasant experience, and the branding is also […]

October 1, 2021

Published by Mark Cunha

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SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

The SEC recently took enforcement actions against three Registered Investment Advisers (RIAs) that breached their fiduciary duty to advisory clients. In particular, the SEC took disciplinary action against RIAs over issues related […]

September 2, 2021

Published by Mark Cunha

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How to Train Your Team on New RIA Compliance Tech

Bringing on new tech for RIA compliance can be a major undertaking on top of handling the constantly-updated compliance regulations a firm must navigate. Usually any new tech is software of some […]

August 21, 2021

Published by Mark Cunha

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SEC Findings: Wrap Fee Initiative

The SEC has been watching wrap fee programs for quite a while. From 2017-19, the SEC’s annual examination priorities named wrap fee programs as putting investors at risk. The SEC’s Division of […]

August 4, 2021

Published by Mark Cunha

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SEC Charges 21 RIAs for Form CRS Filing and Delivery Failures

On July 26, 2021, the SEC announced that 21 Registered Investment Advisers (RIAs) settled charges alleging that they failed to file and deliver their client relationship summaries, known as Form CRS, in […]

Blogs

Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

SEC Policy Shifts Include Potential Admissions of Wrongdoing

Alert: NASAA Annual Enforcement Report Released

9 Mistakes to Avoid When Learning Fintech

SmartRIA Gets an Elegant New Look and Feel

SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

How to Train Your Team on New RIA Compliance Tech

SEC Findings: Wrap Fee Initiative

SEC Charges 21 RIAs for Form CRS Filing and Delivery Failures

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