Robo-Advisory and Automated Investment Management Audit Checklist

A comprehensive checklist for auditing robo-advisory and automated investment management practices, focusing on algorithm integrity, regulatory compliance, and investor protection in automated wealth management services.

Robo-Advisory and Automated Investment Management Audit Checklist
by: audit-now
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About This Checklist

In the evolving landscape of wealth management, robo-advisory and automated investment platforms are revolutionizing how individuals access financial advice and portfolio management services. This Robo-Advisory and Automated Investment Management Audit Checklist is designed to help financial institutions evaluate and enhance their automated investment solutions, ensuring they meet regulatory requirements, deliver consistent performance, and protect investor interests. By systematically assessing key areas of robo-advisory operations, organizations can identify potential vulnerabilities, ensure adherence to fiduciary standards, and implement best practices in algorithmic investing. This comprehensive checklist serves as a vital tool for improving the reliability, transparency, and compliance of automated investment platforms in the rapidly growing robo-advisory sector.

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Industry

Financial Services

Standard

SEC Investment Advisers Act of 1940, FINRA Regulatory Notice 16-08, MiFID II

Workspaces

Trading floors

Occupations

Quantitative Analyst
Compliance Officer
Risk Manager
IT Security Specialist
Legal Counsel

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