Skip to content

MENU

HomeAboutServicesCurrent Page:ContactCOVID-19 Task Force
Thompson Hine LLP logo
RSS Facebook LinkedIn Twitter

Source Code

A Compliance Guide for Robo-Advisers

Contact

Please feel free to contact our team directly, or use the “Contact Us” form below.

Photo of Craig FosterCraig FosterPartner614.469.3280Email
Photo of Josh HinderliterJosh HinderliterAssociate614.469.3345Email
Photo of Marc MinorMarc MinorSenior Counsel614.469.3232Email

    All fields are required.





    Bloggers

    Photo of Craig FosterCraig FosterPartner Craig's Linkedin ProfileCraig's Twitter ProfileCraig's Facebook Profile
    Photo of Josh HinderliterJosh HinderliterAssociate Josh's Linkedin ProfileJosh's Twitter ProfileJosh's Facebook Profile
    Photo of Marc MinorMarc MinorSenior Counsel Marc's Linkedin ProfileMarc's Twitter ProfileMarc's Facebook Profile

    Stay Connected

    RSS Facebook LinkedIn Twitter

    About this Blog

    Source Code is an operational and compliance resource for robo-advisers of all sizes. Because of the unique way that these firms serve clients, robo-advisers face regulatory and functional challenges that traditional advisers do not. This blog regularly addresses those challenges in thoughtful, concise and practical posts.

    Investment Advisers Lawyers
    RIA Notice Filings Tool

    Topics

    Archives

    Recent Updates

    • Confused By The Signs? SEC Publishes Annual Guide to Examination Priorities
    • Valuation and Fee Assessment – What Your Compliance Program Needs to Have
    • Posting or Paying for a Review – SEC Changes Game for Testimonials and Solicitors
    • Proper Performance Promotion- The SEC’s New Advertising Rule: When Adviser Performance Marketing Goes Too Far.
    • A New Approach to Advertising – the SEC Revises Investment Adviser Advertising Regulation
    Investment Management Practice
    Thompson Hine LLP logo
    Atlanta | Chicago | Cincinnati | Cleveland | Columbus | Dayton | New York | Washington, D.C.
    RSS Facebook LinkedIn Twitter

    About Thompson Hine

    Thompson Hine investment management lawyers provide outstanding legal services and a wealth of experience to a wide range of clients, including investment companies and advisers, broker-dealers, domestic and offshore hedge funds, ETFs, fund service providers, and independent directors and trustees. We offer innovative solutions for entering the industry, developing new products and services, expanding business through strategic planning and acquisition, keeping abreast of regulatory and industry developments, and interacting with regulators. A top-ranked national business law firm, our clients range in size from start-up ventures to large financial institutions and funds.  Please visit the Thompson Hine website to learn more about our experience and capabilities.

    Privacy PolicyDisclaimer
    Copyright © 2021, Thompson Hine LLP. All Rights Reserved.
    Powered By LexBlog