Ratings and Reviews 1 Rating

Total
ease
features
design
support

Ratings and Reviews 1 Rating

Total
ease
features
design
support

Alternatives to Consider

  • Predict360 Reviews & Ratings
    18 Ratings
    Company Website
  • Haast Reviews & Ratings
    5 Ratings
    Company Website
  • SDS Manager Reviews & Ratings
    4 Ratings
    Company Website
  • Sumsub Reviews & Ratings
    235 Ratings
    Company Website
  • MedTrainer Reviews & Ratings
    250 Ratings
    Company Website
  • Captain Compliance Reviews & Ratings
    337 Ratings
    Company Website
  • iTacit Reviews & Ratings
    46 Ratings
    Company Website
  • Rippling Reviews & Ratings
    21,048 Ratings
    Company Website
  • LeaseAccounting.app Reviews & Ratings
    Company Website
  • Breathe Reviews & Ratings
    655 Ratings
    Company Website

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 Regilient?

Regilient stands out as a cutting-edge platform focused on sustainability and compliance, integrating elements such as product compliance, responsible sourcing, ESG considerations, and trade compliance into a unified framework. This system centralizes critical information, which encompasses bills of materials, component specifics, supplier details, regulatory mandates, and historical records, and it seamlessly connects with ERP and PLM systems to keep compliance data current. By employing AI agents, Regilient enhances operational efficiency through the automation of supplier communications, the collection and validation of declarations, the monitoring of regulatory changes, the evaluation of supply chain risks, and the identification of exceptions requiring human attention. The platform is structured to meet a diverse range of regulations and standards, including RoHS, REACH, PFAS, TSCA, Prop 65, EU POPs, SCIP, EPR, the EU Battery Regulation, and conflict-minerals reporting. Furthermore, it diligently monitors substance thresholds at the component level in relation to the bill of materials, and it possesses the capability to autonomously create product-level compliance certificates, detailed reports, and regulatory disclosures, thereby increasing operational effectiveness and ensuring compliance with legal requirements. Consequently, organizations adopting Regilient can enhance their ability to navigate compliance challenges while advancing sustainability initiatives throughout their supply chains. This not only benefits compliance management but also fosters a culture of accountability and transparency within organizations.

Media

Media

Integrations Supported

Additional information not provided

Integrations Supported

Additional information not provided

API Availability

API Availability

Has API

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

Documentation Hub
Online Training

Company Facts

Organization Name

Smartria

Date Founded

2011

Company Location

United States

Company Website

smart-ria.com

Company Facts

Organization Name

Regilient

Date Founded

2020

Company Location

India

Company Website

www.regilient.ai/

Categories and Features

Compliance

Archiving & Retention
Audit Management
Risk Management

Categories and Features

Compliance

Not specified

Popular Alternatives

Popular Alternatives

My Insider Reviews & Ratings

My Insider

MyInsider
Ask Kaia Reviews & Ratings

Ask Kaia

360factors