Category Archives: U.S. Financial Market

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Massachusetts Offers Policy Guidance on Investment Advisers’ Use of Robo-Advisers

As robo-advisers continue to grow in popularity with investors, especially millennial investors, at least one regulator is taking a closer look.  On July 14, 2016, Massachusetts Secretary of the Commonwealth William Galvin issued a policy statement addressing the use by investment advisers under his jurisdiction of third-party robo-advisers.  This follows a similar policy statement by … Continue Reading

Financial Stability Oversight Council Releases 2016 Annual Report

The Financial Stability Oversight Council (FSOC) has released its 2016 Annual Report, which was unanimously approved by its voting members on Tuesday, June 21, 2016. The FSOC is required by Congress to report on their activities annually. The Dodd-Frank Act created the FSOC in order to properly identify risks that may pose challenges in the … Continue Reading
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