Source Code

A Compliance Guide for Robo-Advisers

The Source Code blog, published by Thompson Hine LLP, focuses on regulatory compliance and examination issues relevant to investment advisers and financial services firms. It covers topics such as responding to SEC examination requests, handling deficiency letters, remedying compliance deficiencies, and preparing for regulatory exams. The blog provides guidance on maintaining compliance programs, managing records, and understanding SEC examination priorities and processes. It also addresses practical steps for firms to improve their policies and procedures following regulatory reviews, emphasizing the importance of thorough preparation and ongoing adherence to regulatory requirements.

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