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, […]
Blogs
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
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 financial advisors compliance solutions? If so, you might not be covering all of the complex documents and tasks vital to the […]
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 […]
August 31, 2016
Everyone’s heard the cliché that time is money. But as a registered investment advisor, this is especially true for you. Your time equals money, both for you and your clients. The more […]
August 16, 2016
Preparation is the root of success, especially when it comes to compliance and the tools you use to pass your next audit. In 2014, the SEC announced an initiative to audit at least a […]
July 20, 2016
Let’s face it—the world of RIA compliance is tricky at best. With constantly evolving law and reporting requirements at play, RIA compliance can keep you up at night.
