Insights - Smartria

July 29, 2025

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Smartria Joins the Wealth Engineering Expert Sourcing Consortium

We’re proud to share that Smartria has been selected as the exclusive compliance platform within the Wealth Engineering Expert Sourcing Consortium—a highly regarded ecosystem serving 2,150+ top-tier wealth management firms across the […]

July 21, 2025

Published by Patrick Hunt

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What Modern Compliance Needs from Technology in 2025

Policies: Paperwork or Protection? As Bob Dylan wrote, “You don’t need a weatherman to know which way the wind blows.” You do, however, need a policy management system to prove your team […]

July 17, 2025

Published by Patrick Hunt

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Smartria Announces Mark Cunha as Head of Growth Initiatives to Accelerate Strategic Expansion

KNOXVILLE, Tenn., July 17, 2025 — Smartria®, a leading compliance software platform for investment advisors, is excited to announce Mark Cunha as its new Head of Growth Initiatives. This strategic addition to the executive team reflects […]

July 15, 2025

Published by Patrick Hunt

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How the SEC’s Small Business Advisory Committee is Quietly Shaping the Future of Startup Capital

For most founders, regulatory discussions don’t appear on the radar until something goes wrong: a delayed offering, a compliance snag, or a legal gray zone no one warned them about. But often, […]

July 7, 2025

Published by Patrick Hunt

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What the SEC’s Latest Data Tells Us About Broker-Dealers, M&A Trends, and BDCs

Introduction: When A Routine Release Signals Structural Change SEC data releases are rarely splashy. Written in neutral tones, stripped of commentary, and often dropped mid-week with little amplification, they’re not designed […]

July 3, 2025

Published by Patrick Hunt

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The Costs of Insufficient Compliance: Why “Good Enough” Is Not Enough

The Comfort of “Good Enough” When Sarbanes-Oxley dropped in 2002, a lot of firms didn’t take it as a wake-up call. They treated it more like a checkbox exercise. Copy-paste a […]

June 25, 2025

Published by Patrick Hunt

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Same Rules, Fewer People: Handling the Small Firm Compliance Hustle

Same rules, smaller teams It’s one thing to train for a marathon with a full coaching staff, custom shoes, cryotherapy, and someone handing you electrolytes mid-stride. It’s another to show up […]

June 17, 2025

Published by Patrick Hunt

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The Internal Compliance Audit Playbook: A Step-by-Step Guide That Regulators Will Respect

You’re probably reading this article because someone (maybe the CCO, maybe your future self) said the words: “We need to audit our compliance program.” And now it’s your job to figure out […]

June 6, 2025

Published by Patrick Hunt

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From Paper Trails to Data Traces: How the SEC’s Latest Reports Signal a New Era of Oversight

In the early 2000s, SEC exams often meant dusting off physical binders and hunting through emails for attestations. A good compliance officer knew the art of printing PDFs and organizing labeled folders. […]

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