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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 

Screenshots View All

Screenshots View All

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 
Slack No 
Symphony No 
Videolicious No 
Vidyard No 
Wistia No 
YouTube No 
Zoom No 
Zoom Chat No 
Zoom Phone 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 
Slack Yes 
Symphony Yes 
Videolicious Yes 
Vidyard Yes 
Wistia Yes 
YouTube Yes 
Zoom Yes 
Zoom Chat Yes 
Zoom Phone 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 

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