211029 CCMC Comments RFI Digital Engagement Practices SEC

Published

October 30, 2021

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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.

211029 CCMC Comments RFI Digital Engagement Practices SEC

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