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A Compliance Guide for Robo-Advisers

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Compliance with Solicitation: How to Build a Strong Referral Base

By Thompson Hine LLP on October 7, 2019
Posted in Attracting Clients

Solicitation ComplianceThe saying goes, referrals are the lifeblood of any business. Indeed, all business owners, robo-advisory firms included, strive to provide a level of value and service to their customers such that those customers in turn become advocates and solicitors of the business. Unfortunately, word of mouth referrals alone are not usually enough. Your firm may…

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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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