1. Robo-Advisor Enforcement Cases Highlight Advertising, Solicitation Compliance

    Robo-Advisor Enforcement Cases Highlight Advertising, Solicitation Compliance

    Two cases late last year and recent regulatory actions have underscored the need for firms to work this year on developing practice standards if they offer robo-advisory services or expect to do so.

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    1. Wealthfront did so without following the disclosure and documentation requirements of the Advisers Act rule 206(4)-3, the Cash Solicitation Rule.