When you’re an RIA compliance consultant, chances are you’ve got more than one job title. In a small business especially, you might also serve as the company CEO, CCO, accountant, social media administrator, human resources representative, or office manager. To perform any or all of these duties well, you need easy-t0-use tools for RIA compliance […]
In October, the SEC announced several changes to Form ADV, the main reporting document for registered investment advisors (RIAs). One of these changes illustrates just how much social media has permeated the business landscape and how it can affect your company if not managed properly. What you post on social media can have real repercussions […]
SmartRIA is always working to improve our products and services to make sure our users have the best experience with our software. Here’s what we did to update our software in November. If you have features you’d like us to add, let us know. We’d love to hear from you. We’re very excited about our new Advanced […]
Registered investment advisors must have someone in place to manage RIA compliance with SEC and state regulations, a position commonly known as the chief compliance officer. It’s a vital role, and finding the right fit for CCO could be the deciding factor that makes or breaks a firm.
Short for regulatory technology, RegTech is a subset of FinTech (financial technology), which encompasses software and cloud-based applications designed to help professionals like RIAs and compliance consultants navigate federal and state regulations.
You know that there are many obstacles that could keep you and your firm from being successful. Being in a competitive industry means running your business competitively. While some firms may look at SEC and state RIA compliance as a burden, making it a priority can give you a powerful edge against them.
As a registered investment advisor, it’s only a matter of time until you get audited. Audits by SEC or state regulators can happen at random, or be triggered by an issue. It’s not a matter of if, but a matter of when, so you need every tool at your disposal to ensure that you’re—and that […]
When it comes to your RIA firm, we know you’re concerned with the bottom line. You don’t have the time or budget to invest in novel solutions just because they’re convenient—the tools you use, including your compliance software, need to show real-world benefit before you make them part of your processes.
“Time is money” It’s a common saying, and anyone who doesn’t believe it probably hasn’t tried to run a business. Whether you’re a professional investment advisor or the principal of an RIA firm, your time and your employees’ time can earn or cost you money, and it’s vital for you to find the balance between […]
Are you and your staff at the forefront of RIA compliance training, or could your tools and processes use an upgrade? Even when you think you’ve got everything covered in the event of an audit, there’s always room for improvement. Particularly when it comes to the tricky world of compliance for RIA firms, there’s no […]
