Evolving Robo Advisor Compliance Programs

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SIFMA’s Compliance & Legal Society Annual Seminar

Now in its 49th year, this is the premier event for compliance and legal professionals working in the financial services industry. The C&L Annual Seminar provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent, and ethical in the world. Compliance and legal departments are critical to a firm s effectiveness. In recent years, we have witnessed an explosion of new rules which have put tremendous demands on our compliance and legal professionals. This is not to say that regulation is unnecessary or bad. SIFMA supports a smart financial regulatory framework that does not unnecessarily impede capital formation. We support open and constructive dialogue with our regulators and coordination among agencies to eliminate duplicative or outdated rules. And, we support a path forward that effectively reduces risk, protects investors and improves trust and confidence while also protecting the vitality of our markets.