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What is Smartria?

Smartria is a purpose-built RIA compliance software platform for managing and automating SEC and FINRA compliance programs. The platform is designed for registered investment advisors and can be customized around the compliance requirements, policies, workflows, and organizational structure of individual firms. Its compliance management capabilities centralize tasks, forms, regulatory deadlines, alerts, reminders, filings, records, and other recurring compliance activities. Automated workflows allow firms to reduce manual work associated with processes such as new employee onboarding, regulatory filings, employee oversight, and ongoing compliance administration. Marketing review tools manage the submission, review, approval, and rejection of marketing materials while automatically maintaining records of those decisions. Employee attestation capabilities document employee acknowledgments related to codes of ethics, outside business activities, personal holdings, political activities, insider relationships, and other compliance requirements. Smartria also provides trade monitoring with customizable trade rules, pre-clearance workflows, front-running alerts, and support for Know Your Client and Know Your Employee requirements. Vendor management functionality helps compliance teams maintain vendor information and monitor security certifications, vendor attestations, and reported incidents. Access and activity logging combined with reporting tools provide records of employee participation and compliance activity that can help firms prepare for regulatory audits. Smartria supports boutique RIAs, growing advisory firms, and enterprise organizations, with enterprise capabilities including branch management and SOC 2-aligned security infrastructure. Compliance consulting firms can use multi-client access, content publishing, and in-app communications to manage compliance programs for multiple RIA clients from the platform.

What is Arx Alert?

Arx Alert is a sophisticated platform designed to help users visualize, evaluate, and react to critical data, effectively preventing agency problems before they can develop. By integrating all relevant information into one comprehensive interface, it enables supervisors to manage their teams with accurate insights and automated processes that promote efficient task completion. Created with contributions from law enforcement experts, Arx Alert includes an extensive digital Forms application that meets national and state accreditation standards, aimed at reducing risk while streamlining the review and approval workflow. Users have the flexibility to create and manage their own forms or to utilize a fully supported service, where the Arx support team assists in crafting, implementing, and maintaining sophisticated forms. Furthermore, Arx Alert Tasks provides users with straightforward access to actionable items, allowing them to efficiently address necessary tasks and improve overall operational effectiveness. This integrated strategy guarantees that organizations can proactively handle their workflows and uphold exemplary performance standards, ultimately driving success. With its user-centric design and robust functionality, Arx Alert stands out as a vital resource for modern agencies aiming to enhance their operational capabilities.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS

Customer Service / Support

Standard Support

Customer Service / Support

Standard Support
Web-Based Support

Training Options

Documentation Hub
Online Training

Training Options

Not specified

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Altovista Technology

Date Founded

2017

Company Location

United States

Company Website

arxcommunity.com/arx-alert/

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Risk Management

Not specified

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