Tech adoption can be a huge issue for RIA companies, and virtually any business these days. If the pandemic has taught us anything, it’s that most people can quickly adopt new tech. (Online meetings anyone?) Meanwhile, some may initially resist new tech and later grow to love it. And then there’s … [Read more...]
SmartRIA Gets an Elegant New Look and Feel
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 more in line with the company’s public website. While the changes are only “skin deep," there are some … [Read more...]
How to Train Your Team on New RIA Compliance Tech
Bringing on new tech for RIA compliance can be a major undertaking on top of handling the constantly-updated compliance regulations a firm must navigate. Usually any new tech is software of some kind to help make compliance easier to handle. But once you have new tech selected from a vendor, there's … [Read more...]
SEC Findings: Wrap Fee Initiative
The SEC has been watching wrap fee programs for quite a while. From 2017-19, the SEC’s annual examination priorities named wrap fee programs as putting investors at risk. The SEC’s Division of Examinations (Division) released a July 21, 2021 Risk Alert with guidance from examiners during its … [Read more...]
Why You Should Invest in Compliance Software
Compliance. It’s tedious, complex, and confusing, especially with regulatory changes and at least yearly changes in exam focus. However, compliance is essential to the success of your firm. Investing in compliance software will save you time, money, and stress in the long run. Choosing the … [Read more...]