Smartria resources

The fear is real: Why compliance leaders are still missing critical risks In 2025

There’s a particular kind of anxiety that’s hard to explain to anyone outside compliance. It’s not the fear of outright failure, but something quieter, more persistent…

Insights

Insights, best practices, and expert advice, to inform and inspire.

June 8, 2026

Published by Patrick Hunt

Categories

What the SEC Expects From RIA Recordkeeping in 2026

The takeaway in 30 seconds: The current SEC has pulled back from pursuing recordkeeping failures as standalone enforcement cases, but that is a change in enforcement focus, not a relaxation of the […]

June 3, 2026

Published by Patrick Hunt

Categories

The SEC Just Proposed Rescinding Climate Disclosure Rules. Here’s What RIAs Actually Need to Think About.

The SEC’s May 29 proposal to rescind the 2024 climate disclosure rules will generate a lot of commentary about what it means for corporate America. Most of it won’t be directly useful […]

May 27, 2026

Published by Patrick Hunt

Categories

What an SEC-Ready Compliance Dashboard Looks Like

Most compliance dashboards answer the wrong question. They show what has been done: tasks completed, attestations collected, and policies acknowledged. Clean numbers, green indicators, and a sense of progress. What an SEC […]

News

Glimpse into the industry and the industry leader.

June 8, 2026

Published by Patrick Hunt

Categories

What the SEC Expects From RIA Recordkeeping in 2026

The takeaway in 30 seconds: The current SEC has pulled back from pursuing recordkeeping failures as standalone enforcement cases, but that is a change in enforcement focus, not a relaxation of the […]

June 3, 2026

Published by Patrick Hunt

Categories

The SEC Just Proposed Rescinding Climate Disclosure Rules. Here’s What RIAs Actually Need to Think About.

The SEC’s May 29 proposal to rescind the 2024 climate disclosure rules will generate a lot of commentary about what it means for corporate America. Most of it won’t be directly useful […]

May 19, 2026

Published by Patrick Hunt

Categories

Reg S-P Compliance: The June 3 Deadline Applies to Your Firm. Here’s Where Most Programs Break.

By now most RIAs under $1.5 billion in AUM know the June 3 date exists. Fewer have spent time thinking carefully about what “compliant” actually means when an examiner walks in and […]

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Smartria resources

The fear is real: Why compliance leaders are still missing critical risks In 2025

There’s a particular kind of anxiety that’s hard to explain to anyone outside compliance. It’s not the fear of outright failure, but something quieter, more persistent…

Insights

Insights, best practices, and expert advice, to inform and inspire.

What the SEC Expects From RIA Recordkeeping in 2026

The SEC Just Proposed Rescinding Climate Disclosure Rules. Here’s What RIAs Actually Need to Think About.

What an SEC-Ready Compliance Dashboard Looks Like

News

Glimpse into the industry and the industry leader.

What the SEC Expects From RIA Recordkeeping in 2026

The SEC Just Proposed Rescinding Climate Disclosure Rules. Here’s What RIAs Actually Need to Think About.

Reg S-P Compliance: The June 3 Deadline Applies to Your Firm. Here’s Where Most Programs Break.

FAQs

Have a question, but not a minute to chat?

See what Smartria can do for you.