Compliance for Robo and Digital Advisers

Date: 
March 26, 2019 - 2:00 pm to 3:00 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
ACA Compliance Group's Jack Rader and Allison Charley, and Mark Perlow, Partner, with Dechert, LLP, and James Silk, Partner, with Willkie Farr & Gallagher

Please join Jack Rader, Allison Charley, Mark Perlow, and James Silk on Tuesday, March 26th at 2pm EDT for a complimentary webcast focused on robo and digital advisers. Our speakers will discuss regulatory trends, recent enforcement cases, unique robo and digital adviser issues, and provide practical guidance for compliance personnel.

Discussion Topics

  • SEC’s Division of Investment Management Guidance Updates
  • OCIE’s Exam Focus on Digital Advisers
  • Recent Enforcement Actions
  • Unique Digital Adviser Issues
    • Rule 3a-4
    • Fiduciary Duty
    • Compliance Programs
    • Disclosures
    • Cybersecurity
  • Guidance for Compliance Officers

 

There will also be time allotted to answer specific questions and respond to comments from webcast attendees.