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Description

For firms regulated by the SEC or FINRA, maintaining compliance is essential for operational continuity, yet it often imposes financial strain. ComplianceGuardian™ integrates top-tier compliance software with the most current expert insights, education, and consulting services to ensure your firm meets compliance requirements today and adapts to evolving regulations. The powerful ComplianceGuardian™ software platform is crafted and consistently updated by a team of highly experienced compliance specialists. With backgrounds in both the private sector and regulatory organizations, these professionals effectively connect your organizational objectives with necessary regulatory standards, aiding companies like yours in staying compliant with reduced disruption to operations. Moreover, these experts are readily available to assist you, providing support whenever needed, although you have the option to work independently if preferred. Businesses of all sizes rely on ComplianceGuardian™ to address their fundamental compliance needs efficiently and comprehensively. This partnership not only enhances compliance but also fosters confidence in navigating the complex regulatory landscape.

Description

Smartria is a cloud-based RIA compliance management platform built specifically for registered investment advisors, chief compliance officers, and compliance consulting firms. The software centralizes SEC and FINRA compliance activities and can be configured around an individual firm's policies, workflows, employees, and regulatory requirements. Compliance management tools help firms track recurring tasks, forms, deadlines, alerts, reminders, filings, and other activities needed to maintain an ongoing compliance program. Marketing review workflows streamline the submission and approval of marketing materials while maintaining records of approvals and rejections. Employee oversight capabilities record attestations covering areas such as codes of ethics, outside business activities, personal holdings, political activities, and insider relationships. Smartria's trade monitoring solution supports customized trade rules, pre-clearance processes, front-running alerts, and KYC and KYE requirements. Vendor management tools allow firms to maintain vendor records and track security certifications, attestations, and incidents from a centralized location. Automated workflows can also support employee onboarding, regulatory filings, record retention, activity logging, reporting, and other recurring compliance processes. Smartria offers configurations for boutique, growing, and enterprise RIAs as well as multi-client access, content publishing, and in-app communications for compliance consultants.

API Access

Has API No 

API Access

Has API No 

Screenshots View All

Screenshots View All

Integrations

Firco Trust Yes 

Integrations

Firco Trust No 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Pricing Details

No price information available.
Free Trial No 
Free Version No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Deployment

Web-Based Yes 
On-Premises No 
iPhone App No 
iPad App No 
Android App No 
Windows No 
Mac No 
Linux No 
Chromebook No 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support Yes 

Customer Support

Business Hours Yes 
Live Rep (24/7) No 
Online Support No 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) Yes 
In Person No 

Types of Training

Training Docs Yes 
Webinars No 
Live Training (Online) Yes 
In Person No 

Vendor Details

Company Name

National Regulatory Services

Founded

1984

Country

United States

Website

nrs-inc.com

Vendor Details

Company Name

Smartria

Founded

2011

Country

United States

Website

smart-ria.com

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management No 
Compliance Tracking Yes 
Controls Testing No 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation Yes 

Product Features

Compliance

Archiving & Retention Yes 
Artificial Intelligence (AI) No 
Audit Management Yes 
Compliance Tracking No 
Controls Testing No 
Environmental Compliance No 
FDA Compliance No 
HIPAA Compliance No 
ISO Compliance No 
Incident Management No 
OSHA Compliance No 
Risk Management Yes 
Sarbanes-Oxley Compliance No 
Surveys & Feedback No 
Version Control No 
Workflow / Process Automation No 

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