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SmartRIA
United States
01 Jan 2016 (9 Years)
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Security Information
What are the differences in regulations for each
License
A Grade License
Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.
B Grade License
Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.
C Grade License
Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.
D Grade License
From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.
Company Information
Get to know SmartRIA
Company Information
Get to know SmartRIA
SmartRIA makes software that simplifies compliance for the financial services industry. We excel at making the complex and often frustrating world of regulatory compliance simple to manage and easy to understand. Our unique roles for compliance consultants and distributed management of large corporations make our solution able to handle any compliance problem for any sized company. Since our launch in 2016, we have built the most complete, easiest-to-use compliance software platform for the Registered Investment Advisor industry. We have since moved on to compliance in other financial services verticals in the US, and have expanded to wealth management compliance in the UK.
Industry
- Financial Other ServicePRIMARY
- Technology Software Development
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