Smartria Resources
We’ve put these resources together to help you navigate our app, learn more about the compliance tools we provide and get support. We update it regularly, so be sure to check this page often. We strive to provide best-in-class, Software as a Partnership® support for our customers, and value your questions and feedback. Please let us know how we can make your experience awesome.
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How Financial Firms Can Use Social Media Without Getting Burned: A No-Nonsense Guide to SEC Compliance
When Compliance Goes Viral Remember this episode of The Office where Michael Scott declares bankruptcy by simply yelling, “I DECLARE BANKRUPTCY!” into the room?
The SEC’s 2025 FAQ Update on the Marketing Rule: What Performance Data You Can Use (and How)
On March 19, 2025, the SEC dropped an update that compliance officers have been waiting for since the Marketing Rule’s enforcement wave began. The new
How to Prepare for an SEC Exam in 2025: A Step-by-Step Guide
Introduction: The Exam That Shaped a Decade In 2007, the SEC’s examination of a midsize advisory firm uncovered a chain of internal miscommunications that,
From Burden to Advantage: How Tech Is Rewriting the Rules of Enterprise Compliance
Introduction: The Real Cost of Scrambling In 2017, Equifax failed to patch a known vulnerability. As a result, 147 million people had their personal
How RIAs Are Scaling Smart: Key Takeaways from FutureProof Citywide 2025
Introduction: An Industry on the Move FutureProof Citywide 2025 brought the RIA community face-to-face with the pace of its own transformation. The conversations pulsing
Regulation, AI, and the Future of Compliance: Key Insights from the IAA Compliance Conference
If you want to understand where compliance is headed, follow the crowd to Washington, D.C. – or more specifically, to the IAA Compliance Conference at
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