December 13, 2017
It’s been a disappointing year for those who thought the new administration would quickly roll back regulations and oversight in the financial industry, including state and SEC compliance for Registered Investment Advisors. […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
December 13, 2017
Working as a RIA compliance consultant, you need to account for every step of the process, including new client on-boarding, compliance tasks, document storage, and employee management, to audit preparation. You’ll also encounter […]
December 12, 2017
When you’re an RIA compliance consultant, chances are you’ve got more than one job title. In a small business especially, you might also serve as the company CEO, CCO, accountant, social media […]
December 4, 2017
In October, the SEC announced several changes to Form ADV, the main reporting document for registered investment advisors (RIAs). One of these changes illustrates just how much social media has permeated the […]
December 1, 2017
SmartRIA is always working to improve our products and services to make sure our users have the best experience with our software. Here’s what we did to update our software in November. […]
November 20, 2017
Registered investment advisors must have someone in place to manage RIA compliance with SEC and state regulations, a position commonly known as the chief compliance officer. It’s a vital role, and finding the right fit for CCO could be the deciding factor that makes or breaks a firm.
November 6, 2017
Short for regulatory technology, RegTech is a subset of FinTech (financial technology), which encompasses software and cloud-based applications designed to help professionals like RIAs and compliance consultants navigate federal and state regulations.
May 25, 2017
You know that there are many obstacles that could keep you and your firm from being successful. Being in a competitive industry means running your business competitively. While some firms may look at SEC and state RIA compliance as a burden, making it a priority can give you a powerful edge against them.
May 16, 2017
As a registered investment advisor, it’s only a matter of time until you get audited. Audits by SEC or state regulators can happen at random, or be triggered by an issue. It’s […]
