transcript   Transcript

Digital Advisory Services

Recorded on: Feb. 8, 2018
Running Time: 00:58:58

Full Transcript:

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Taken from the Web Program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants held February 2018 in New York

Digital Advisory Services [00:58:58]

  • Implications of Rule 3a-4
  • SEC robo-advice guidance
  • Oversight of algorithmic trading

Todd Cook, Derek Newman, Robert H. Shapiro, András P. Teleki 

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • U.S. Securities and Exchange Commission, Division of Investment Management Guidance Update—No. 2017-02: Robo-Advisers (February 2017)
    Clifford E. Kirsch
  • U.S. Securities and Exchange Commission, Investor Bulletin: Robo-Advisers (February 23, 2017)
    Clifford E. Kirsch
  • FINRA Report on Digital Investment Advice (March 2016)
    Clifford E. Kirsch

Presentation Material
  • Digital Advisory Services
    Todd Cook, Derek Newman, Robert H. Shapiro, Andras P. Teleki
Todd Cook ~ Head of Global Digital Wealth Management Legal, JP Morgan Chase
Derek Newman ~ Senior Regulatory Counsel, Motley Fool Wealth Management
Robert H. Shapiro ~ Branch Chief, Chief Counsel's Office, Division of Investment Management, U.S. Securities and Exchange Commission
Andras P. Teleki ~ Managing Member, Teleki AML and Cybersecurity Law Firm , Chief Legal Officer, M3Sixty Administration, LLC
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