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It’s All About Communication – Navigating Off-Channel Communications in the Investment Advisory Space

In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More

Robo-Advisers are Not Immune from Compliance Failures

Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2]  The most reoccurring are violations … Read More

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