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.