United States: Preparing for regulatory examinations evaluating the digitization of trading and investment advice

In brief

The growth of digital engagement practices (DEP) has raised regulatory issues for broker-dealers and investment advisers. In this preview of an article from an upcoming issue of The Review of Securities & Commodities Regulation, Amy Greer and Gavin Meyers discuss a variety of such issues, including account opening due diligence and best execution. They suggest that, as a starting place, to prepare for regulatory examinations firms should review current practices and address those concerns raised by the SEC and FINRA in their recent statements, guidance, and regulatory responses.


Contents

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Contact Information
Amy Greer
Partner
New York/Washington, DC
amy.greer@bakermckenzie.com

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