Financial regulators are beginning to take notice of digital advisers (sometimes referred to as robo-advisers, automated advisers, or internet advisers). Within a year, the U.S. Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”), and Massachusetts Securities Division (“MSD”) each issued guidance and statements addressing digital advisers. As digital advisers continue to grow in size and number, they will face increased regulatory scrutiny.
Please join us on March 22, 2017 at 11:00 a.m. EDT, as Giselle Casella, Senior Principal Consultant, and Luis Garcia, Principal Consultant at ACA Compliance Group, and Mike Pappacena, Managing Director at ACA Aponix, present a complimentary webcast on regulatory challenges facing digital advisers.
As part of this discussion, our speakers will address:
- Understanding digital advisers;
- What regulators have to say about digital advisers;
- Compliance challenges and risks; and
- Cybersecurity and business continuity planning.
Throughout the webcast, the panelists will answer questions and respond to comments from attendees.