Insights - Smartria

July 17, 2025

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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 few […]

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. […]

June 4, 2025

Published by Patrick Hunt

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Your Company in the Right Headlines: How Smart Compliance Can Keep You Off the SEC’s Radar in 2025

You can’t outsource accountability—the words of Gurbir Grewal, SEC’s Director of Enforcement, landed like a drumbeat. What your firm says, builds, shares, or automates—if it reaches a client or touches decision-making—it’s yours […]

May 28, 2025

Published by Patrick Hunt

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Key Takeaways from the SEC’s Record-Breaking 2024 Enforcement Report

The SEC’s 2024 enforcement numbers were never going to tell the whole story. Yes, the agency brought 26% fewer cases than the year before; but no one paying attention would call this […]

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