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Preparing for Regulatory Examinations Evaluating the Digitization of Trading and Investment Advice  

Author:  Amy J. Greer.; Gavin M. Meyers.

Source: Volume 54, Number 22, December 15 2021 , pp.269-273(5)

Review of Securities & Commodities Regulation

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The growth of digital engagement practices (“DEP”) has raised regulatory compliance issues for broker-dealers and investment advisers. The authors discuss a variety of such issues, including account opening due diligence and best execution. They suggest that, to prepare for examinations, firms should review current practices and address issues and concerns raised by the SEC and FINRA in recent statements, guidance, and regulatory responses.

Keywords: Gamification and Digital Engagement; Account Opening Due Diligence; Best Execution; Payment for Order Flow

Affiliations:  1: Baker & McKenzie LLP; 2: Baker & McKenzie LLP.

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