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SmartRIA - SmartRIA Compliance Software

Strategic Partnership Announced with SmartRIA, Dynasty Financial Partners and MarketCounsel

December 7, 2021 by Mac Bartine Leave a Comment

SmartRIA’s End-to-End Solution Helps Financial Advisory Practices Simplify & Optimize Compliance Workflows MIAMI BEACH, Fla., Dec. 7, 2021 /PRNewswire/ — Dynasty Financial Partners (Dynasty) and MarketCounsel, together, announced a strategic partnership with SmartRIA at The MarketCounsel Summit today. SmartRIA is a provider of comprehensive technology solutions for automating and streamlining compliance for registered investment advisers (RIAs). “When we were looking for cutting-edge software to make compliance considerably easier, more operationally efficient, and more collaborative for advisory organizations, we found that SmartRIA was the

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Filed Under: Compliance, News

SmartRIA Gets an Elegant New Look and Feel

October 4, 2021 by Mac Bartine Leave a Comment

SmartRIA’s development team has been working for months on refreshing the look and feel of our software. These changes make using the software a more pleasant experience, and the branding is also more in line with the company’s public website. While the changes are only “skin deep,” there are some big ideas that went into this latest update. Herb Himes, SmartRIA’s interface and experience design lead for the project, offered some details on what’s new: Look and feel – Our

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Filed Under: News, Release Notes, Software Tagged With: compliance, compliance software

SEC Charges 21 RIAs for Form CRS Filing and Delivery Failures

August 4, 2021 by Mac Bartine Leave a Comment

On July 26, 2021, the SEC announced that 21 Registered Investment Advisers (RIAs) settled charges alleging that they failed to file and deliver their client relationship summaries, known as Form CRS, in a timely manner. Form CRS is also frequently referred to as Form ADV Part 3. Six broker-dealers were also accused of not filing or delivering their client relationship summaries. On June 5, 2019, the SEC adopted Form CRS and required SEC-registered investment advisers and SEC-registered broker-dealers to file

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Filed Under: Compliance Alert, Compliance Errors, General, News

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2021 SEC Exam Priorities

March 9, 2021 by Mac Bartine Leave a Comment

On March 3, 2021, the SEC’s Division of Examinations (Division) published its examination priorities for the year. These priorities are the driving force behind the Division’s examinations but are not exhaustive. Examiners may focus on other issues during an examination. The Division, which was previously called the Office of Compliance Inspections and Examinations, circulates its yearly priorities to alert Registered Investment Advisers (RIAs) and broker-dealers regarding the risks that firms should address. The Division’s goal is to prevent harm to

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Filed Under: Audit, Compliance Alert, Cybersecurity, News Tagged With: audit, Audit Prep, audit-ready, compliance

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New York Regulatory Update

February 13, 2021 by Mac Bartine Leave a Comment

The New York State Department of Law (the “Department”) recently adopted new regulations that went into effect on February 1, 2021. These new regulations govern the registration and examination requirements for investment adviser representatives domiciled in New York, or doing business with New York clients. Previously, New York did not require registration of state and SEC investment adviser representatives. The Department is allowing for an implementation period for current New York domiciled representatives to apply for registration by August 31,

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Filed Under: Compliance Alert, General, News

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What Can RIAs Learn About the SEC’s Ponzi Scheme Charges?

February 12, 2021 by Mac Bartine Leave a Comment

On February 4, 2021, the SEC charged three individuals and their affiliated entities with running an alleged Ponzi scheme that raised over $1.7 billion from securities issued by an asset management firm and Registered Investment Adviser (RIA). Approximately 4,000 of the 17,000 retail investors defrauded were seniors. According to the SEC’s complaint, the defendants told investors that they would receive distributions from the profits of the portfolio companies. In fact, many of the payments came from the investors’ own funds.

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Filed Under: Compliance Alert, News

RIAs Can Expect Big Changes with SEC’s New Marketing Rule

December 29, 2020 by Mac Bartine Leave a Comment

Guest post by Ara Jabrayan On December 22, 2020, the SEC enacted the new Marketing Rule, which will have an enormous impact on Registered Investment Advisers (RIAs). The new rule will replace the prior Advertising Rule, as well as the Cash Solicitation Rule. The SEC also amended Form ADV and the Books and Records Rule to implement changes resulting from the Marketing Rule. The SEC enacted the new Marketing Rule to protect investors from misleading advertisements and solicitations, while accommodating

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Filed Under: Compliance Alert, Culture of Compliance, General, News

SmartRIA Announces a Deeper Partnership With SS&C Technologies’ Black Diamond Wealth Platform

November 13, 2020 by Mac Bartine Leave a Comment

Newly expanded relationship makes SmartRIA a preferred third-party compliance solution for Black Diamond clients Yesterday, SmartRIA announced an expanded relationship with SS&C Technologies’ Black Diamond® Wealth Platform. This alliance strengthens the deep integration between the two solutions with a committed focus and investment from both parties to advance the integration. “Our ability to maintain compliance workflows has been greatly enhanced with the partnership between Black Diamond and SmartRIA, and we are excited to experience the collaborative improvements from these critical

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Filed Under: News

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SmartRIA Acquires Greytwist Data Governance Solution

September 9, 2019 by Mac Bartine Leave a Comment

  The data governance platform will be integrated into SmartRIA’s compliance management solution platform to better support customers’ needs. Knoxville, TN, Sept. 9, 2019: SmartRIA and Greytwist have announced today the acquisition by SmartRIA of Greytwist Data Governance, a solution for vendor due diligence and management, personally identifiable information (PII) data governance and cybersecurity policy and procedures management and oversight. The asset sale includes the Greytwist Data Governance software platform, which will be integrated into the SmartRIA Compliance Management Platform.

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Filed Under: News

How to Hire a CCO to Manage RIA Compliance

SEC Issues Risk Alert Dealing with Regulation S-P Privacy Notices & Safeguard Policies

April 26, 2019 by Mac Bartine Leave a Comment

  On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert dealing with Regulation S-P, which is the Commission’s primary rule governing privacy notices and the safeguarding policies of Registered Investment Advisers (RIAs), as well as broker-dealers. The Risk Alert guidance is derived from recent examinations of RIAs and broker-dealers and is designed to help them develop compliant privacy and opt-out notices to clients who are individuals (“customers”). The Risk Alert will also

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Filed Under: Compliance Alert, News

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