Wednesday, June 14, 2017

SEC heightens exam focus on robo advisers | On Wall Street

SEC heightens exam focus on robo advisers 

Under newly confirmed Chairman Jay Clayton, the SEC is setting its sights on expanded protections for retail investors, planning a series of RIA sweep exams exploring areas like robo advisers and money market funds.

Though Clayton is just a month into his new job, a position he entered with no prior government experience, some of his field lieutenants are already relaying the message that individual clients will be a major focus for the Commission under his stewardship."


Sallah Astarita & Cox, LLC is a nationally recognized securities litigation law firm, representing investors and advisors across the country in securities investigations and arbitrations. For information regarding their services, call their office at 212-509-6544, or email them at

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