No Complaints From In-House Lawyers on SEC Robo Guidance
By Stephanie Forshee
Alden was a panelist at November’s forum, and he was able to offer his views on what Betterment has experienced with investors.
Largely, he was pleased with the guidelines. Now his advice for other in-house counsel is to familiarize themselves with the Investment Advisers Act of 1940, which still serves as the underlying guidance for monitoring and regulating advisers.