Robo Archives

IAA Calls on SEC to Address Adviser Use of Digital Engagement and Tech to Provide Advice Within Advisers Act Fiduciary Framework

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

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