October 9, 2023
The latest SEC rules have an underlying theme: they all include requirements for covered entities to respond to and report cybersecurity incidents. This also includes requirements to have a written incident response […]
Blogs
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
September 28, 2023
KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartriaⓇ, a trailblazer in compliance management solutions for Registered Investment Advisors (RIAs), hybrid RIAs and RIA compliance consultants, is proud to announce the launch of its new solution, Cybersecurity Focus, […]
March 30, 2023
Originally posted to BusinessWire – KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartRIA®, the leading compliance management software provider to registered investment advisors (RIAs), is excited to announce a second strategic investment round from Dynasty Financial Partners […]
September 23, 2022
Originally posted to BusinessWire – An integration between award-winning platforms Smartria and StratiFi offers firms access to real-time integrated portfolio and employee risk dashboards within Smartria. Smartria®, a powerful, easy-to-use cloud-based software […]
August 10, 2022
The new collaboration between Smartria and Kitces.com is key to providing online continuing education at scale and meeting the new North American Securities Administrators Association’s (NASAA) Investment Adviser Representative Continuing Education (IAR […]
December 7, 2021
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 […]
October 4, 2021
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 […]
August 4, 2021
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 […]
March 9, 2021
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 […]
