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SEC Pushes Proper Training of Robo-Advisors

March 1, 2017 by Louis Chunovic

The SEC’s division of investment management and its office of investor education and advocacy have issued guidance for the financial services industry and for investors, respectively, regarding the use of robo-advisers, which the commission defines as “registered investment advisers that use computer algorithms to provide investment advisory services online with often limited human interaction.” There… Read More >>

Filed Under: Regulation & Compliance Tagged With: artificial intelligence (AI), Investment Advisers Act, robo-advisor, SEC

SEC to Require More Data from Investment Advisers

August 29, 2016 by Eugene Grygo

SEC Amends the Investment Advisers Act The SEC is asking for more data from investment advisers via revamped reporting and disclosure requirements implemented through amendments to the Investment Advisers Act, and the investment adviser registration and reporting form, officials say. The amendments are intended to improve the quality of information that investment advisers provide to… Read More >>

Filed Under: General Interest, FinTech Trends, Regulation & Compliance, Industry News Tagged With: compliance, FusionCapital Risk, Horizon Automated Trading, Investment Advisers Act, Investment Advisers Act Rule 204-2, KGI securities, Mary Jo White, Misys, SEC

Faulty IT Can Cut Revenues in Half: TABB Group

July 6, 2016 by Eugene Grygo

Some Firms Still Using Legacy, Error-Prone IT Nearly one-third of asset managers — based outside of North America — say that they are hanging onto legacy IT platforms even if these systems are causing trade delays and errors, according to a new survey from market research firm TABB Group. The global, non-North American investment managers… Read More >>

Filed Under: Securities Operations, Corporate Actions, Mergers & Acquisitions, General Interest, FinTech Trends, Regulation & Compliance, Industry News Tagged With: Asset International, asset managers, BCP Rule, corporate events data, Dayle Scher, Investment Advisers Act, IT platforms, Market Metrics, Markit, Markit Hub, Matrix Solutions, registered investment advisors, RIAs, SEC, Tabb Group, Wall Street Horizon

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