Ensure your clients’ money & data stay protected, that fiduciary duty is transparent & documented, and regulatory obligations are fulfilled.
Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.
Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.
Automate onboarding to instill a culture of compliance from a new employee’s first day, while streamlining processes.
*Available as a stand-alone platform for $500 per month
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Ensure your clients’ money and data stay protected, that fiduciary duty is transparent and documented, and that regulatory obligations are fulfilled.
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Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.
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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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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.
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