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Jackson Walker

New FINRA Capital Acquisition Broker Rules May Offer Limited Relief to Private Investment Fund Advisers

Jackson Walker on

The U.S. Securities and Exchange Commission (“SEC”) recently approved a Financial Industry Regulatory Authority (“FINRA”) proposal to adopt a new regime for the regulation of electing broker-dealer firms that meet the...more

Blake, Cassels & Graydon LLP

CSA Provides Guidance on Canadian “Robo-Advisers”

The term “robo-adviser” has become synonymous with a provider of automated, low-cost, investment advisory services through user-friendly web-based (and increasingly, mobile) channels. These digital advice platforms are...more

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