Tag: Robo
The IAA has submitted a comment letter to the SEC in response to the agency’s August 27 Request for Information on the use of digital engagement practices and technology to provide investment advice by investment advisers.
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.
September 03, 2021
Tags: Digital Advice, Robo, Technology
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