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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.
Description
Ensuring security and compliance in contemporary collaboration platforms is crucial for enterprises aiming to mitigate risks related to data exposure, security, and acceptable use during interactions. This approach enables organizations to effectively oversee what is shared, communicated, and documented throughout collaborative sessions. With cloud-based solutions that are quick and simple to integrate, businesses can facilitate safe collaboration across remote locations and a distributed workforce. Furthermore, aligning video conferencing and collaboration practices with security, risk, and compliance mandates empowers organizations to utilize modern communication tools without concern. Theta Lake offers a specialized compliance suite designed for the automatic identification of regulatory risks, streamlined compliance processes, and archiving solutions for video marketing, conferencing, and audio recordings. As the demand for video marketing and conferencing continues to surge, it coincides with a rise in regulatory requirements such as MiFID II, FCA, GDPR, FINRA, and FFIEC, highlighting the need for robust compliance measures. Consequently, companies can confidently embrace these communication technologies while adhering to necessary regulations.
API Access
Has API
No
API Access
Has API
No
Integrations
AT&T Office@Hand
No
Avaya Cloud Office
No
Dialpad Support
No
Facebook
No
GoTo Meeting
No
Kaltura
No
Microsoft 365
No
Microsoft Teams
No
RingCentral RingEX
No
RingCentral Video
No
Integrations
AT&T Office@Hand
Yes
Avaya Cloud Office
Yes
Dialpad Support
Yes
Facebook
Yes
GoTo Meeting
Yes
Kaltura
Yes
Microsoft 365
Yes
Microsoft Teams
Yes
RingCentral RingEX
Yes
RingCentral Video
Yes
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
No
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
Smartria
Founded
2011
Country
United States
Website
smart-ria.com
Vendor Details
Company Name
Theta Lake
Founded
2017
Country
United States
Website
thetalake.com
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
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
Yes
Incident Management
No
OSHA Compliance
No
Risk Management
Yes
Sarbanes-Oxley Compliance
No
Surveys & Feedback
No
Version Control
No
Workflow / Process Automation
No