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Smartria Pro™ Platform
- SmartRIA Pro Platform
- $50.00 per month
- Stand-alone compliance platform. 1 CCO seat included. Additional seats can be purchased in-app after initial purchase for compliance operations team, IARs & advisor support staff.
- Comprehensive Compliance Calendar
- Customizable Compliance Forms and Tasks
- SEC Rule 204-2 WORM Compliant File Storage
- Automated employee onboarding, including initial holdings reports
- Request a demo
- Trade Monitoring
- $425.00* per month
- Automate employee trade monitoring and eliminate the need for duplicate statements with our Plaid integration for Held Away Accounts. Includes up to 10 Advisors.
- Customizable rules engine
- Automatically flag trades
- Pre-clearance requests
- Detect front-running and violations of Code of Ethics when combined with Client Data
- Request a demo
- Client Data Feeds
- $200.00 per month
- Increase automation of compliance and demonstration of fiduciary duty with data that captures cash balances, trading activity, and performance. Includes up to 10 Advisors.
- Trading Inactivity Alerts
- Client Accounts, Holdings & Transactions Visibility
- Track required account files
- Compliance adherence & potential deficiency reporting
- Request a demo
*Available as a stand-alone platform for $500 per month
topClient Compliance & Protection
Ensure your clients’ money and data stay protected, that fiduciary duty is transparent and documented, and that regulatory obligations are fulfilled.
Client Agreements & Correspondence
- Review and approve initial client agreements
- Upload and review client correspondence
- Supervise and archive emails to clients
Client Billing & Fee Documentation
- Document and approve fees charged to clients
- Compliant storage of client billing documentation
Client Trades & Alerts
- Trading inactivity alerts and reporting
- Document & reconcile trade errors
- Missing review alerts
Client Reviews & Reporting
- Client annual reviews
- Client and account required documents
- Clients by state and household
topOperations & Records
Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.
Operational Books & Records
- Compliance Manual
- Code of Ethics
- Form ADV
- Accounting
Regulatory Books & Records
- Advertising
- Solicitor
- Trading Policies
- Client Relationship
Operational Review
- Ad and Marketing
- Regulation Review and Compliance
- Branch and Remote Operations
- Regulatory Filings
- Professional Designations
Compliance Automation
- Compliance Calendar Templates
- Self-Audit Review Checklists
- ADV Timeline
- Reporting Templates
- Privacy and Security Review
topEmployee 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.
Code of Ethics
- Rule 204A-1 under the Advisers Act
- Centralized access for employees
- Maintain record of changes with archives
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
- 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 Reporting
- Initial Personal Holdings Reports
- Simplified Quarterly Transactions Reports
- Potential violation reporting
- Recurring workflows for Annual Holdings Reports
topEmployee 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.
New Employee Attestations
- Code of Ethics
- Trading Policies
- Privacy and Security Policies
- Compliance Manual
New Employee Reporting
- Access Controls
- Initial Holdings Reporting
- Initial Outside Business Activity Reporting
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