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Clients & Accounts
Ensure your clients’ money & data stay protected, that fiduciary duty is transparent & documented, and regulatory obligations are fulfilled.
Operations & Records
Create permission-based file storage for your firms’ policies, manuals, books and records that comply with Rule 204-2.
Trade Monitoring
Automate quarterly transaction reports, detect front-running, and automate alerts for violations of Code of Ethics.
Employee Onboarding
Automate onboarding to instill a culture of compliance from a new employee’s first day, while streamlining processes.
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.
Clients & Accounts
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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