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SmartRIA - SmartRIA Compliance Software

Experience SmartRIA’s game-changing compliance software and refreshing Software as a Partnership® customer service.

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Clients & Accounts

Ensure your clients’ money & data stay protected, that fiduciary duty is transparent & documented, and regulatory obligations are fulfilled.

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Operations & Records

Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.

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Trade Monitoring

Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.

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Employee Onboarding

Automate onboarding to instill a culture of compliance from a new employee’s first day, while streamlining processes.

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Our platform streamlines your compliance operations with flexible, automated workflows, risk alerts and transparent reporting.  Simplify complex regulatory operations and stay ahead of risk with our award-winning compliance monitoring platform. Leverage real-time insights of employee activity tracked against your firm’s rules and regulations.

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Clients & Accounts

Ensure your clients’ money and data stay protected, that fiduciary duty is transparent and documented, and that regulatory obligations are fulfilled.

RIA Compliance Solutions for Client Protection

Client Agreements & Correspondence

  • Review and approve initial client agreements
  • Upload and review client correspondence
  • Supervise and archive emails to clients

Client Protection

Client Billing & Fee Documentation

  • Document and approve fees charged to clients
  • Compliant storage of client billing documentation

Client Protection

Client Trades & Alerts

  • Trading inactivity alerts and reporting
  • Document & reconcile trade errors
  • Missing review alerts

Client Protection

Client Reviews & Reporting

  • Client annual reviews
  • Client and account required documents
  • Clients by state and household

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Operations & Records

Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.

Compliance Platform for Operational Records

Operational Books & Records

  • Compliance Manual
  • Code of Ethics
  • Form ADV
  • Accounting

Compliance Platform for Regulatory Records

Regulatory Books & Records

  • Advertising
  • Solicitor
  • Trading Policies
  • Client Relationship

 

Operational Review

Operational Review

  • Ad and Marketing
  • Regulation Review and Compliance
  • Branch and Remote Operations
  • Regulatory Filings
  • Professional Designations

Solutions for Compliance Automation

Compliance Automation

  • Compliance Calendar Templates
  • Self-Audit Review Checklists
  • ADV Timeline
  • Reporting Templates
  • Privacy and Security Review

 

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Employee Trade Monitoring

Automate quarterly transaction reports and eliminate the need for duplicate statements with our Plaid integration for Held Away Accounts.  Combined with Client Data Feeds, compliance teams can detect front-running and violations of Code of Ethics.

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trade monitoring

Code of Ethics

  • Rule 204A-1 under the Advisers Act
  • Centralized access for employees
  • Maintain record of changes with archives

trade monitoring

Personal Trading Procedures

  • Document trading procedures
  • Create company-wide access to policies and changes
  • Create workflows for submitting and reviewing “prior written approval” requests
  • Maintain “restricted lists” and “black-out period” lists

trade monitoring

Trade Monitoring

  • Automate collection of trade confirmations and duplicate statements
  • Create alerts for potential violations during “blackout periods”
  • Detect Front-Running
  • Verify Trades with Company Trade Rules

trade monitoring

Trade Reporting

  • Initial Personal Holdings Reports
  • Simplified Quarterly Transactions Reports
  • Potential violation reporting
  • Recurring workflows for Annual Holdings Reports

 

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Employee Onboarding

The process of onboarding and offboarding employees comes with certain challenges for the compliance team. Leveraging SmartRIA’s automated onboarding helps instill a culture of compliance from a new employee’s first day, while saving time and energy for both the compliance team and the new employee’s superviser.

Solutions for Employee Attestations

New Employee Attestations

  • Code of Ethics
  • Trading Policies
  • Privacy and Security Policies
  • Compliance Manual

Solutions for Employee Reporting

New Employee Reporting

  • Access Controls
  • Initial Holdings Reporting
  • Initial Outside Business Activity Reporting

 

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