2016 Investment Adviser Perspectives: Digital Advice Roundtable

November 03, 2016

Please join us for breakfast and a discussion of the current regulatory landscape affecting digital investment advisers.

Topics will include:

  • Regulatory Focus on Digital Advisers
  • Fiduciary Duty and the Standard of Care
  • Suitability, Client Profiling, and Rule 3a-4
  • Governance and Compliance Controls
  • Impact of the DOL Fiduciary Rule

CLE credit: CLE credit in CA, FL, IL, NJ (via reciprocity), NY, PA, TX, and VA is currently pending approval.