December 21, 2016
The Financial Industry Regulatory Authority, also known as FINRA, is not a governmental body like the SEC or state RIA regulators, but it still plays a major role in how RIA firms […]
December 8, 2016
The Department of Labor Fiduciary Rule is set to start a year-long rollout in April 2017, placing fiduciary responsibility to act in the best interest of the client on the shoulders of […]
November 21, 2016
If you’re shopping around for a powerful RIA compliance software package, you’ve already taken a crucial first step towards ensuring that your firm is audit-ready.
November 14, 2016
It’s inevitable: your RIA firm will be audited. The SEC and state regulators have been steadily increasing the number of RIA audits each year, and if your firm hasn’t been visited yet, […]
October 26, 2016
SmartRIA’s founder Roger Kiger was featured today in an interview on Financial Advisor Magazine’s blog. The interview explores how Mr. Kiger went from principal of a wealth management firm to a technology […]
October 26, 2016
Are you using a simple checklist to keep track of your RIA compliance requirements? If so, you might not be covering all of the complex documents and tasks vital to the health […]
October 12, 2016
RIA compliance can be so difficult to navigate that it’s easy to lose sight of what it’s all about. Compliance isn’t busywork to keep the SEC off our backs; it’s a safeguard […]
September 28, 2016
Since the U.S. Department of Labor passed its new Fiduciary Rule back in April, the investment industry has been rife with discussion and speculation. Will it change the way we do business? […]
September 14, 2016
The regulations and requirements for registered investment advisors have changed a lot in the last decade, and RIA compliance continues to evolve. But what are the types of RIA compliance, and how […]
