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SEC Proposes Rule on AI Predictive Analytics
The Securities and Exchange Commission (SEC) proposed a rule to regulate potential conflicts of interest …
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Risk Alert on Robo-Advisers Urges Vigilance on Compliance Programs
Lawyers from Stradley wrote that the risk alert should be considered in light of the broader examination …
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SEC Targets Two Robo-Advisers for False Disclosures
The SEC announced settlements with two robo-advisers for making false statements about investment products …
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Wealthfront Offers Free Automated Financial Planning as Robo Competition Heats Up
A report in the Wall Street Journal says Wealthfront is offering its automated financial planning service …
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Private Equity Firms Eye Robo-Advisers; Wealthfront Takes a Less Passive Turn
Bloomberg is reporting that private equity firms are hoping to gain from the popularity of digital advice …
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MFDF Program to Explore Implications of Blockchain, Robos, AI for Fund Industry
The Mutual Fund Directors Forum in partnership with the University of Maryland’s Smith School of Business …
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Article Explores SEC Staff Guidance on Robo-Advisers
A recent article in the Investment Lawyer by Sullivan & Worcester lawyer Thomas M. Ahmadifar explores …
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Paper Explores a Regulatory Framework for Robo-Advisors
An academic paper takes on the challenges that digital advice poses for financial market regulators and …
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SEC Releases Guidance on Robo-Advisers
The SEC recently released guidance on digital advisors, specifically robo-advisers that provide services …