Smartria
bySmartria
Smartria is a cloud-based compliance management platform designed to centralize, automate, and scale SEC and FINRA compliance programs for Registered Investment Advisors (RIAs), hybrid RIAs, and RIA networks. Founded in 2011 and headquartered in Knoxville, Tennessee, Smartria offers a comprehensive suite of tools to streamline complex regulatory tasks, ensuring firms remain compliant and efficient. The platform includes features such as compliance management, marketing reviews, employee attestations, trade monitoring, and vendor management. Smartria also provides solutions tailored for firms at various stages of growth, from boutique to enterprise levels, and has recently introduced AI-powered features like SmartReview and SmartAssist to further enhance compliance workflows.
Features
- Compliance management with tasks, forms, deadlines, alerts, and reminders
- Streamlined marketing material reviews with automatic record-keeping
- Automated employee attestations for code of ethics, outside business activities, personal holdings, political activities, and insider relationships
- Trade monitoring supporting customized trade rules, pre-clearance, and front-running alerts
- Vendor management with curated vendor lists and tracking of security certifications and incidents
- AI-powered features like SmartReview and SmartAssist for enhanced compliance workflows
Categories
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