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. […]
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
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 […]
May 22, 2025
The most valuable signal in compliance isn’t always what’s new; it’s what keeps showing up. That’s what makes FINRA’s 2025 Oversight Report so revealing. Underneath the new headlines (third-party risks, complex annuities, […]
April 24, 2025
On March 19, 2025, the SEC dropped an update that compliance officers have been waiting for since the Marketing Rule’s enforcement wave began. The new FAQs target the thorniest part of the […]
April 3, 2025
Introduction: An Industry on the Move FutureProof Citywide 2025 brought the RIA community face-to-face with the pace of its own transformation. The conversations pulsing through the boardwalk in Miami Beach were […]
March 26, 2025
If you want to understand where compliance is headed, follow the crowd to Washington, D.C. – or more specifically, to the IAA Compliance Conference at the Marriott Marquis. In 2025, it wasn’t […]
March 14, 2025
Compliance in the RIA world has always been like The Matrix: everywhere, shaping how firms operate, defining what’s possible. No testimonials, no performance advertising, no client endorsements. But just like Neo learning […]
August 28, 2024
This recognition, along with our 198% growth rate over the past three years, speaks to our commitment to developing the highest-quality compliance solutions for RIAs. Knoxville, TN – Smartria has been recognized […]
June 29, 2024
On June 27, 2024, the Supreme Court rejected the SEC‘s use of penalizing fraud defendants in civil cases without a trial. The decision comes in response to SEC action taken in 2013. […]
