Regulatory Focus on Robo-Advisors

32 Pages Posted: 5 Sep 2017 Last revised: 16 Sep 2017

Date Written: September 12, 2017

Abstract

This paper examines recent regulatory guidance issued by federal and state regulators concerning robo-advisors.

Keywords: robo-advisors, robo-advisor, robo adviser, robo advisor, robo-advice, investment adviser, suitability, fiduciary, best interest, duty of care, duty of loyalty, robo-adviser

Suggested Citation

Fein, Melanie L., Regulatory Focus on Robo-Advisors (September 12, 2017). Available at SSRN: https://ssrn.com/abstract=3028259 or http://dx.doi.org/10.2139/ssrn.3028259

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