How Robo-Advisory Platforms Impact the Asset Management Industry

  • The type of information requested by the robo-advisor to formulate investment recommendations
  • The amount of human engagement and active live interaction the investor requires
  • Fees and charges levied (including management and advisory fees)
  • Investment guidelines and strategy followed by the robo-advisory platform
  • Compliance with registration, disclosures and other regulatory requirements, which can be checked on the SEC’s Investment Adviser Public Disclosure database
  • The process for review and approval of marketing material disseminated to end investors
  • Regulatory disclosures provided on the platforms for prospective clients prior to engagement
  • The implementation of adequate policies and procedures in relation to marketing and advertising guidelines under the Investment Advisers Act

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Acuity Knowledge Partners

Acuity Knowledge Partners

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We write about financial industry trends, the impact of regulatory changes and opinions on industry inflection points. https://www.acuitykp.com/