Compliance in a Digital Age

Description

This course is designed to help investment adviser representatives, supervisory principals, compliance professionals, and firm executives understand several new areas of focus of the U.S. Securities and Exchange Commission (“SEC”) related to the use of digital tools. The speaker discusses the SEC’s previous guidance and recent enforcement action against an investment adviser for its supervised persons who used authorized messaging apps for business. This course reviews regulatory issues and best practices related to the SEC’s new Marketing Rule for an investment adviser which utilizes client testimonials or third-party endorsements as part of its online marketing. Finally, the speaker explores possible regulatory issues associated with certain uses of artificial intellignence and the SEC’s proposed rule for investment advisers using predictive and artificial intelligence technology. This course provides one credit in the Products & Practices category.