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SmartRIA - SmartRIA Compliance Software

Alert: NASAA Annual Enforcement Report Released

October 25, 2021 by Mac Bartine Leave a Comment

The North American Securities Administrators Association (NASAA) published its annual enforcement report on Sept. 29. In the report, state securities regulators conducted an increasing number of investigations and enforcement actions related to digital assets, precious metals and other commodities, … [Read more...]

Filed Under: Compliance Alert Tagged With: compliance, Regulation

SEC Scrutinizing RIAs on 12b-1 Fees, Revenue Sharing, and Wrap Fees

October 1, 2021 by Mac Bartine Leave a Comment

The SEC recently took enforcement actions against three Registered Investment Advisers (RIAs) that breached their fiduciary duty to advisory clients. In particular, the SEC took disciplinary action against RIAs over issues related to 12b-1 fees, revenue sharing arrangements and wrap fee … [Read more...]

Filed Under: Compliance Alert, Compliance Errors, Culture of Compliance Tagged With: compliance, Regulation, SEC

SEC Findings: Wrap Fee Initiative

August 21, 2021 by Mac Bartine Leave a Comment

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...]

Filed Under: Compliance Alert, Culture of Compliance, General Tagged With: compliance, compliance software, Regulation, SEC

Compliance in the Age of Pandemics

August 10, 2020 by Amy Easterly Leave a Comment

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The COVID-19 pandemic has been a catalyst for dynamic change for advisor businesses in all but one area – the ongoing and inexorable march of regulation and compliance. Many regulatory deadlines and expectations have not been deflected by the real-world chaos that advisory firms are dealing with. A … [Read more...]

Filed Under: General Tagged With: compliance, Regulation

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