Compliance Consult
SEC Weighs In On ‘Robo-Advisers’
The commission sees several quagmires
Reported by David Kaleda
To access this premium content, please sign up for a free account!
You Might Also Like:
Vanguard to Lower Asset Minimum for Digital Adviser Access
The minimum holding to receive financial advice from "robo-advisory" services will drop to $100 from $3,000.
Raymond James Fined Over Mutual Fund Monitoring
FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...
Mutual Fund Managers ‘Dodge Bullet’ on Swing Pricing
The SEC decided not to move ahead with what the mutual fund industry had argued would be a costly proposal to manage market volatility.