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SEC Publishes Investor Bulletins with Guidance for Robo Advisory Services
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SEC Publishes Investor Bulletins with Guidance for Robo Advisory Services

SEC Publishes Investor Bulletins with Guidance for Robo Advisory Services

Fintech Nexus Staff·
FintechNews Roundup
·Feb. 24, 2017·1 min read

The SEC’s Division of Investment Management has published an investor bulletin including suggestions for investment advisers on meeting disclosure, suitability and compliance obligations under the Investment Advisers Act of 1940; the SEC’s Office of Investor Education and Advocacy also published a bulletin for individual investors providing information to consider when investing with robo advisers.  Source

  • Fintech Nexus Staff
    Fintech Nexus Staff

    This piece was created by one of our content team members. Reach us at [email protected]

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