Advisers take heed: For the first time, the SEC will begin scrutinizing financial professionals who offer advice through robo platforms in 2017.
For firms that provide electronic advice, the SEC's Office of Compliance Inspections and Examinations is warning that exams this year may examine marketing, disclosures of conflicts, compliance programs and the manner in which investment recommendations are produced.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access