February 13, 2021
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 […]
Blogs
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
February 12, 2021
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 […]
December 29, 2020
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 […]
November 13, 2020
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 […]
September 9, 2019
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 […]
April 26, 2019
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 […]
April 22, 2019
SmartRIA today announced an integration with SS&Cs’ Black Diamond Wealth Platform to significantly streamline the surveillance of compliance activities for well-established RIA firms. The direct connection between the two systems allows RIA […]
March 29, 2019
Investment advisers may have noticed the SEC’s recent Share Class Selection Disclosure Initiative and thought they had nothing to learn from the 79 enforcement actions. The reality is that even investment advisers […]
January 3, 2019
The SEC’s Office of Compliance Inspections and Examinations (OCIE) publishes annually its examination priorities to promote transparency and provide insights into the areas it believes pose a heightened risk to investors or […]
