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ARTICLE · 10 JULY 2023

SEC Investor Advisory Committee Panel Discusses Digital Engagement Practices

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On June 22, 2023, the Investor Advisory Committee ("IAC") of the US Securities and Exchange Commission ("SEC" or "Commission") held a panel discussion regarding current challenges...

United StatesStrategy
Wonji L. Kim
Wonji L. Kim
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On June 22, 2023, the Investor Advisory Committee ("IAC") of the US Securities and Exchange Commission ("SEC" or "Commission") held a panel discussion regarding current challenges and potential improvements to the use of digital engagement practices ("DEPs") by broker-dealers and investment firms. The discussion was mostly focused on the DEPs used by digital trading platforms and apps (the "Platforms"). Paul Roye moderated the discussion, and four panelists from universities and research firms shared their observations and research findings, followed by their recommendations for the Commission.

While the panelists acknowledged certain benefits of the Platforms, such as democratization of investing by increasing access and reducing costs, they shared concerns regarding the conflicts of interest between the Platforms and retail investors, particularly unsophisticated investors with limited financial means, including young and senior investors. The panelists took

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