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Robo-Advisers and Digital Advice: Preparing for an SEC Exam

Recorded on: Dec. 5, 2017
Running Time: 01:05:20

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Taken from the One-Hour Briefing Recorded November 2017

Robo-Advisers and Digital Advice: Preparing for an SEC Exam [01:05:19]

The dramatic rise in automated investment platforms (including robo-advisers) is drastically changing the traditional landscape for registered advisers.  These services, which may be offered together in a more traditional model or as a stand-alone service, are appealing to younger generations of millennial investors by utilizing technologically-savvy online investment tools that operate seamlessly on personal devices, such as smart-phones and tablets.  In response to this development, a targeted regulatory framework is emerging as well as a targeted SEC exam focus.    

Catherine C. Gordon of Prudential Financial, Inc., Clifford E. Kirsch of Eversheds Sutherland (US) LLP and Robert H. Shapiro from the U.S. Securities and Exchange Commission will discuss: 

  • The various types of automated investment platforms;
  • Recent regulatory guidance and other statements by the SEC, FINRA and state securities regulators;
  • Specific areas of SEC exam focus; and
  • Considerations in undertaking an adviser’s annual compliance review.
Presentation Material
  • Robo-Advisers and Digital Advice: Preparing for an SEC Exam
    Catherine C. Gordon, Clifford E. Kirsch, Robert H. Shapiro
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