Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Blass, an attorney at Ropes & Gray LLP, is an SEC alumnus who previously worked in the Investment Management division that she is being tapped to lead.
Tom Baker, professor at the University of Pennsylvania Law School, says robo advisors are not immune from conflicts of interest. However, there are challenges to regulating the space.
