Related Products
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About
Smartria is RIA compliance software designed to help registered investment advisors, chief compliance officers, and compliance consultants centralize and automate SEC and FINRA compliance programs. The platform comes pre-configured for relevant regulatory requirements while allowing firms to customize workflows and processes to their specific compliance needs. Compliance management features organize tasks, forms, deadlines, alerts, reminders, regulatory filings, and record retention within a centralized system. Smartria also provides marketing review workflows, employee attestations, trade monitoring, vendor management, employee oversight, and automated employee onboarding. Trade monitoring supports customized trade rules, pre-clearance, front-running alerts, and Know Your Client and Know Your Employee requirements.
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About
Take the stress out of SOX compliance with policyIQ, by simplifying oversight and maximizing efficiency. With the easy configuration tools in policyIQ, our solution will meet your unique needs and will be ready to go within weeks – without the heavy price tag of a custom solution. Save time and reduce error by updating a control just once, with changes flowing through all reports and views. Gain oversight with customized dashboards to see progress and results in real-time. Be proactive in the collection of audit evidence by issuing requests for documentation in advance. Automate control attestations, reviews, and 302 sub-certification processes with simple electronic forms. Implement automated workflows to route changes or escalate issues. Link policies to related compliance content, such as regulatory frameworks or internal controls.
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Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Not Supported
iPad
Not Supported
Android
Not Supported
Chromebook
Not Supported
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Platforms Supported
Windows
Not Supported
Mac
Not Supported
Linux
Not Supported
Cloud
Supported
On-Premises
Not Supported
iPhone
Supported
iPad
Supported
Android
Supported
Chromebook
Not Supported
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Audience
Registered investment advisors, chief compliance officers, compliance teams, wealth management firms, and compliance consultants that need to manage, automate, document, and scale SEC and FINRA compliance programs
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Audience
Policy Management solution for companies
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Not Supported
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Support
Phone Support
Supported
24/7 Live Support
Not Supported
Online
Supported
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API
Offers API
Not Supported
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API
Offers API
Not Supported
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Screenshots and Videos |
Screenshots and Videos |
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Pricing
No information available.
Free Version
Not Supported
Free Trial
Not Supported
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Reviews/
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Reviews/
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Pros & Cons from Real UsersPros
Cons
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Training
Documentation
Supported
Webinars
Not Supported
Live Online
Supported
In Person
Not Supported
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Training
Documentation
Supported
Webinars
Supported
Live Online
Supported
In Person
Not Supported
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Company InformationSmartria
Founded: 2011
United States
smart-ria.com
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Company InformationpolicyIQ
Founded: 1996
United States
www.policyiq.com
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Alternatives |
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Categories |
Categories |
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Compliance Features
Archiving & Retention
Supported
Artificial Intelligence (AI)
Not Supported
Audit Management
Supported
Compliance Tracking
Not Supported
Controls Testing
Not Supported
Environmental Compliance
Not Supported
FDA Compliance
Not Supported
HIPAA Compliance
Not Supported
Incident Management
Not Supported
ISO Compliance
Not Supported
OSHA Compliance
Not Supported
Risk Management
Supported
Sarbanes-Oxley Compliance
Not Supported
Surveys & Feedback
Not Supported
Version Control
Not Supported
Workflow / Process Automation
Not Supported
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Policy Management Features
Approval Process Control
Supported
Attestation
Supported
Audit Trails
Supported
Policy Creation
Not Supported
Policy Library
Not Supported
Policy Metadata Management
Supported
Policy Training
Supported
Reporting / Analytics
Supported
Version Control
Supported
Workflow Management
Supported
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Integrations
No info available.
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Integrations
No info available.
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