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The weekly news source for investment management legal and compliance professionals

News May 21, 2018 Issue

Technology: IAA Urges Treasury to Recommend a Principles-Based Approach

As new technologies and networks proliferate among advisory firms and other non-bank financial institutions, many will require regulation, but will that regulation encourage innovation, or stifle it? The Investment Adviser Association, in a recent letter to the Department of the Treasury, urged the Department to support innovation by recommending and encouraging regulators to adopt regulations that are principles-based.

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