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Catherine "Katy" Courtney Gordon

Morgan Lewis & Bockius LLP

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SEC weighs in on robo-advisers: disclosure, suitability, and compliance obligations

USA - March 14 2017 The SEC's Guidance recognizes that robo-advisers are fiduciaries, and provides suggestions on how they can meet the substantive requirements of the...

Eric L. Perelman, Jennifer L. Klass, Monica L. Parry, Steven W. Stone.


FINRA’s Proposed Rules on Gifts, Gratuities, and Non-Cash Compensation

USA - September 13 2016 After a two-year silence, the Financial Industry Regulatory Authority (FINRA) has proposed amendments to Rule 3220 (Influencing or Rewarding the...

Amy Natterson Kroll, Steven W. Stone.