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.
- 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
- Guidance for Compliance Officers
There will also be time allotted to answer specific questions and respond to comments from webcast attendees.