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Source Code

A Compliance Guide for Robo-Advisers

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Electronic communications with clients – what to know before you hit “send”

By Craig Foster on August 14, 2019
Posted in From the Start
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If you’re a robo-adviser, chances are you want to create a fully “digital” experience for clients that doesn’t involve sending paper documents. For example, you may want to email clients or communicate with them directly through your firm’s online platform. If you’re going to ditch the paper, the SEC expects you to follow its guidance…

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Source Code is an operational and compliance resource for robo-advisers of all sizes. Because of the unique way that these firms serve clients, robo-advisers face regulatory and functional challenges that traditional advisers do not. This blog regularly addresses those challenges in thoughtful, concise and practical posts.

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