What this industry clearly needs is a compliance hero. Let me explain… Opportunities for growth are reaching new heights, and the crucial role of compliance has taken center stage, as we heard from many conversations at the recent T3 Conference. With a projected 13% Compound Annual Growth Rate (CAGR) over the next few years, WealthTech […]
There’s always something about the freshness of a new year. It’s like the nostalgia from the first day of school: opening a box of #2 pencils, kids laughing and leather squeaking from all the new tennis shoes. The new year is a chance to restart, well, everything. And sometimes that’s a really good thing. Coming […]
For wealth management firms, the start of a new year brings new goals and another chance to evaluate the robustness of your compliance program. While creativity might not dominate discussions in this space, the undeniable wins lie in adopting creative problem-solving approaches. This is an area Smartria’s Software as a Partnership® excels—assisting your compliance team […]
Veteran Entrepreneur and Tech Executive Joins Recently Appointed CRO David Coyle to Capitalize on Smartria’s Accelerated Momentum KNOXVILLE, Tenn. – Smartria, the leading provider of compliance software solutions for financial advisors, is excited to announce that Patrick Hunt is stepping into the role of CEO. Hunt takes the helm on the heels of industry veteran […]
It’s no secret that technology is key to helping advisors grow their businesses. The right tools, coupled with best practices, can drive efficiency and allow advisors to more effectively leverage their expertise—resulting in more clients achieving their goals, growing their wealth and ultimately referring friends, family and business contacts to your firm. “Whether we recognize […]
The latest SEC rules have an underlying theme: they all include requirements for covered entities to respond to and report cybersecurity incidents. This also includes requirements to have a written incident response plan. And while having an incident response plan has been a “best practice” for some time, the SEC’s rules may subject the contents […]
KNOXVILLE, Tenn.–(BUSINESS WIRE)–SmartriaⓇ, a trailblazer in compliance management solutions for Registered Investment Advisors (RIAs), hybrid RIAs and RIA compliance consultants, is proud to announce the launch of its new solution, Cybersecurity Focus, which is purpose built to mirror the SEC’s proposed new Cybersecurity Rule. “Securing sensitive information and maintaining cybersecurity has never been more critical […]
We’re thrilled to announce that Smartria is growing its leadership team by adding David Coyle, who will be the company’s Chief Revenue Officer. We created this new position specifically for David, in response to accelerating interest in our industry-leading solutions for registered investment advisors, hybrid RIAs with dually registered advisors, enterprise firms, and compliance consultants. […]
Originally posted to Nasdaq.com – Creativity, Community, and Compliance is a new podcast from Smartria about the power of creativity in the financial services compliance profession. In each episode, Smartria CEO Mac Bartine and Director of Partnerships Rebekah Gucciardo discuss how creativity can be used to solve problems, create new solutions, and foster a sense of […]
Originally posted to Nasdaq.com – In a constantly shifting business landscape driven by hyper-competition and accelerating rates of change, company managements from small boutique firms to large enterprises increasingly are realizing that no firm, regardless of size, can thrive in isolation. They need to develop strategic partnerships that form an active ecosystem of aligned firms. […]
