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The SEC published information and guidance for investors and the
financial services industry on the use of robo-advisers. The
SEC's Division of Investment Management issued guidance for investment advisers with
suggestions on meeting disclosure, suitability and compliance
obligations under the Investment Advisers Act of 1940. It reminded
advisers that, while robo-advisers operate under a broad range of
business and service models, all are required to follow investment
adviser rules, including operating as a fiduciary. A second
publication, an Investor Bulletin issued by the SEC's
Office of Investor Education and Advocacy, provides individual
investors with information they may need to make informed decisions
if they consider using robo-advisers, including doing the same
research they would before investing with any other financial
services firm.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
