美国证券交易委员会对阿利投资顾问公司的罚款为50万美元, SEC fines Ally Invest Advisors $500k for undisclosed cash holdings in robo-advisor accounts.

美国证券交易委员会罚款了Ally Invest Advisors50万美元,因为该公司未能披露其无费机器人顾问账户部分是由金融激励驱动的,将30%资产用于现金以产生回扣和利息. The SEC fined Ally Invest Advisors $500,000 for failing to disclose that its no-fee robo-advisor accounts were partly driven by financial incentives, allocating 30% of assets to cash to generate rebates and interest for the company’s affiliates. 艾利没有告知客户现金持有被选为抵消免费收入损失,违反证券法. Ally did not inform clients that the cash holdings were chosen to offset lost revenue from waived fees, violating securities laws. 公司同意解决问题, 但不承认有任何错误行为. The firm agreed to settle without admitting wrongdoing.