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Source Code

A Compliance Guide for Robo-Advisers

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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.

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Remedying Past Deficiencies
Responding to a Deficiency Letter (aka Your Report Card)
What to Expect When You’re Expecting (an Examination from regulators)
Don’t Panic – Responding to an SEC Examination Request
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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.

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