Category: Investment Management

SEC fines Robo-Advisers

One of the trends in the investment advisory field is the use of “robo advice”, which basically is an automated, algorithm-driven service that requires little human supervision. The robo advice market is growing rapidly, helped in part by millennials who are more accepting of this type of technology. Given this trend, the recent settlements between [..]

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SEC’s OCIE announces 2019 Examination Priorities

On December 20, 2018, the Office of Compliance Inspections and Examinations (“OCIE”) of the U. S. Securities and Exchange Commission (“SEC”) released its 2019 examination priorities.  These priorities provide a preview of key areas where OCIE intends to focus its limited resources, but they do not necessarily encompass all of the areas that will be [..]

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