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.

Craig FosterCraig FosterCounsel614.469.3280Email
Josh HinderliterJosh HinderliterAssociate614.469.3345Email

All fields are required.





Bloggers

Craig FosterCraig FosterCounsel Craig's Linkedin ProfileCraig's Twitter ProfileCraig's Facebook Profile
Josh HinderliterJosh HinderliterAssociate Josh's Linkedin ProfileJosh's Twitter ProfileJosh'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

  • Maintaining Compliance with Your Portfolio Management Process
  • Compliance 101 – Building Your Compliance Program from the Ground Up
  • No Time Like the Present to Review Your Business Continuity Plan
  • SEC Announces Exams Will Focus on Compliance with Form CRS
  • SEC Extends Form ADV Filing and Delivery Deadlines due to Coronavirus
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 © 2020, Thompson Hine LLP. All Rights Reserved.
Powered By LexBlog