News & Analysis as of

Robo-Advisors Compliance

Dechert LLP

ERISA Déjà-Boo? New Halloween Fiduciary Proposal May Be a Real Scream

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The Department of Labor (“DOL”) on October 31, 2023—Halloween—issued a release (the “Release”) proposing to make changes to the 1975 rule (the “1975 Rule”) defining when institutions and individuals are providing fiduciary...more

BCLP

The SEC Declares “You All Fail”

BCLP on

On November 9, 2021, the SEC released a Risk Alert from the Division of Examinations which provides observations from recent examinations into advisers that offer electronic investment advice...more

Jones Day

OCIE Publishes Its 2020 Examination Priorities

Jones Day on

The Situation: The U.S. Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") issued its 2020 examination priorities ("Exam Priorities"). The Result: The Exam Priorities...more

Latham & Watkins LLP

Private Banking Newsletter: Issues Impacting the Private Bank Sector

Latham & Watkins LLP on

The FCA’s Business Plan for 2018/19, published on 9 April 2018, outlined key priorities for the upcoming year. Although the Business Plan revealed that the FCA’s Brexit-related workload will mean a dearth of new initiatives,...more

WilmerHale

Regulatory Monitor: SEC Update

WilmerHale on

On February 7, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released its 2018 examination priorities. This year’s priorities comprise five principal areas: (1)...more

Dechert LLP

SEC Staff Issues Guidance Update and Investor Bulletin on “Robo-Advisers”

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The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC) published a Guidance Update (Guidance) on February 23, 2017, on the subject of automated investment advisers...more

Morrison & Foerster LLP

Personal Advice for Robo-Advisers: Beef Up Disclosure and Compliance

Robo-advisers, those automated bots that offer up personalized investment advice with little, if any, human contact, face increased regulatory scrutiny as they grow more popular. After monitoring and engaging them for...more

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