CCMC responded to a request for information (RFI) from the SEC on “Broker-dealer and investment adviser digital engagement practices, related tools and methods, and regulatory considerations and potential approaches; information and comments on investment adviser use of technology to develop and provide investment advice,”1 that additional regulation of digital engagement practices (DEPs) is unwarranted.
Recommended
- Finance
Proxy Season Shows Corporate Governance Keeps Evolving
Trends include increased shareholder activism, the impact of universal proxy rules, and significant legal challenges.
By Matthew Mullins
View this online
