August 27, 2025
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 14, 2025
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 […]
July 31, 2025
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 […]
July 29, 2025
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 17, 2025
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
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
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 […]
June 6, 2025
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. […]
May 28, 2025
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 […]
