Robo-Adviser: Are You Ready?


Robo-advisers are included in the SEC’s current examination priorities. If you are not now a robo-adviser, it is likely that within the next few years you may partner with a robo, use the services of a robo, compete with a robo, or even become a robo. This session will benefit current robo-advisers and all advisers who want to see what issues and challenges they will face in the near future.


  • Gabriel Ayala: Managing Director, Investment Advisory Compliance, Charles Schwab
  • Richard Marshall: Partner, Katten Muchin Rosenman LLP
  • Jahan Raissi: Partner, Shartsis Friese LLP
  • Amber Tatman: Consultant, NRS

Learning Objectives:

  • List the special compliance concerns the SEC has for robo-advisers
  • Discover how to “supervise” an algorithm
  • Recognize the steps your firm must take to partner with or sub-contract to a robo-adviser

For whom: Designed to increase the professional competence of investment adviser compliance professionals with legal, compliance, ethics, operations and management responsibilities

Suggested Skill Level: Intermediate

Instructional Method: Group Internet-Based and Group Live

Prerequisites for participation:

No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 to become familiar with the structure and terms.

Advance Preparation: None

Continuing Education Credits:

NRS Continuing Education Guide
Recommended CPE Credit: 2
Recommended IACCP CE Credit: 2
Recommended CA MCLE Credit: 2
Recommended CFP Credit: Pending