Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
Tags: Digital Advice, Investor Advocate, Outsourcing, Private Funds
Tag: Digital Advice
Office of Investor Advocate Presents Policy Objectives
The SEC’s Office of the Investor Advocate has published its policy objectives for the 2024 fiscal year.
August 03, 2023
Tags: Digital Advice, Investor Advocate, Outsourcing, Private Funds
SEC Examination Division Weighs in on Digital Investment Advice
This article discusses the SEC’s current focus on digital investment advice, as well as the Division of Examination’s Risk Alert on Electronic Investment Advice.
April 28, 2022
Tags: Digital Advice, Risk Alert
SEC Finds Wide Range of Compliance Issues in Digital Adviser Exams
A new Risk Alert outlines compliance deficiencies SEC examiners discovered in an initiative focused on digital advisers. The exams looked at how firms were upholding their fiduciary duty to provide clear and adequate disclosure, among other things.
November 12, 2021
Tags: Digital Advice, Risk Alert, SEC Examinations
Urges Agency to Extend Comment Period Given Breadth of Request The IAA has submitted a comment letter to the SEC in response to the agency’s August 27th Request for Information...
October 12, 2021
Tags: Digital Advice, Robo, Technology
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Expose
SEC Charges Account Takeover Victims for Deficient Cybersecurity Policies and Procedures that Exposed PII of Thousands of Clients September 3, 2021 Two SEC-registered investment advisers, four dual registrants, and...
September 07, 2021
Tags: Digital Advice, Robo, Technology
SEC Requests Comment on Adviser Digital Engagement Practices
The SEC is requesting information and public comment on the use of digital engagement practices by broker-dealers and investment advisers, including behavioral prompts, differential marketing, gamification, and other design elements...
September 03, 2021
Tags: Digital Advice, Robo, Technology
IAA Comments on DOL’s Proposed Fiduciary Exemption
IAA Comments on DOL’s Proposed Fiduciary Exemption August 10, 2020 The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption. The...
August 10, 2020
Tags: Compliance, Digital Advice, DOL, Fiduciary
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL