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

Earlier this week, the SEC issued a Press Release announcing a Rule Proposal that would require SEC-registered investment advisers to adopt written business continuity and transition plans (BCP) as part
Continue Reading New SEC Rule Proposal – Written Business Continuity and Transition Plans for Registered Advisers