Insights - Smartria

September 16, 2025

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The Risk Isn’t What You Don’t Know. It’s What You Forgot to File.

Earlier this month, NASAA (the North American Securities Administrators Association) released its 2025 annual report on state-registered investment advisers. And for smaller RIAs still assuming regulators are focused elsewhere, it should be […]

September 12, 2025

Published by Patrick Hunt

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Future-Proofing Employee Personal Trading Compliance: Key Trends, Innovations, and Strategies for 2025 and Beyond

After a decade in compliance, you start to notice the same rhythms: quarter-end scrambles, brokerage feeds that don’t quite connect, the email from someone insisting they already submitted their attestation. But you […]

September 11, 2025

Published by Patrick Hunt

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Spring Signals: What the SEC’s 2025 Agenda Means for Crypto Compliance

The SEC’s recently released Spring 2025 Regulatory Agenda reflects a clear shift: modernization is no longer theoretical, it’s underway. For RIAs, compliance officers, and crypto-forward firms, the implications are both promising and […]

September 2, 2025

Published by Patrick Hunt

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Behind the Shield: Celebrating National Compliance Officer Day & Looking Ahead at GRC

National Compliance Officer Day: A Holiday You Didn’t See Coming Every year, on September 26, the industry takes a collective bow toward the often unsung champions of organizational integrity: compliance officers. Yes, […]

August 27, 2025

Published by Patrick Hunt

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SEC Rule 204-2 Documentation Playbook: How To Configure Automated Retention And Audit Trails

Introduction Zoom in to August 2024: the SEC fines a New York adviser $1.25 million after examiners uncover pervasive “off-channel” business texts that were never retained. The order reads like a cautionary […]

August 20, 2025

Published by Patrick Hunt

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From Spreadsheets to Feeds: Practical Ways to Automate Quarterly Employee Trade Compliance

Intro: The Spreadsheet Fatigue Problem Quarter-end arrives, and the hunt begins: exports from three custodians, a maze of CSVs, manual VLOOKUPs, and a Slack thread where someone swears they already sent their […]

August 14, 2025

Published by Patrick Hunt

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NASAA New Advertising Rules: Here’s What State-Registered Advisers Need to Know (And How to Let Your Voice Be Heard)

A Different Kind of Rule Change Back in the day, adviser ads were simple. You’d find them in the Sunday paper, maybe with a black-and-white headshot and a few polite sentences about […]

August 6, 2025

Published by Patrick Hunt

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The Fear is Real: Why Compliance Leaders are still Missing Critical Risks in 2025

There’s a particular kind of anxiety that’s hard to explain to anyone outside compliance. It’s not the fear of outright failure, but something quieter, more persistent… that gnawing sense that something, somewhere, […]

July 31, 2025

Published by Mark Cunha

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What FinCEN’s AML Rule Delay Means for Investment Advisers

Over the past year, many advisory firms have been quietly preparing for a major regulatory shift. Drafting AML policies, vetting service providers, reworking onboarding flows—it’s been a slow burn of behind-the-scenes work […]

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