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Source Code

A Compliance Guide for Robo-Advisers

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Meeting Your Best Execution Obligation

By Craig Foster on August 19, 2020
Posted in Compliance 101

So, let’s say your robo-adviser firm has created a brand new strategy that you think would be attractive to investors.  You’ve registered your firm, licensed your personnel, built and tested the algorithm, and now you’re ready to bring your strategy to market.  Now, all you need to do is find a broker who…

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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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