Overview

Craig regularly assists registered investment advisers with all aspects of their operations, including formation, registration, licensing, disclosure, privacy, client contracts, employee agreements, compliance programs and website and advertising review. Craig also frequently helps advisers navigate and respond to regulatory examinations and conduct annual compliance reviews.

Craig has a particular penchant for assisting robo-advisers. Understanding that such firms face many regulatory challenges and functional challenges that traditional investment advisers may not, he co-founded and regularly contributes to a legal blog, Source Code, which seeks to help robo-advisers address those challenges.

Craig also advises investment company clients on a regular basis. Craig has substantial experience in organizing and launching funds, drafting prospectuses and service provider agreements, advising fund boards, seeking exemptive relief, responding to inquiries from regulators, and coordinating with fund service providers. Craig has also helped many funds prepare and deliver proxy materials to shareholders and has assisted in the successful completion of a number of fund reorganizations. In addition to investment company clients, Craig has significant experience in helping private investments funds prepare offering documents and comply with federal and state registration exemptions.

Finally, Craig works on all things related to privacy and cybersecurity. Having obtained the International Association of Privacy Professionals (IAPP) Certified Information Privacy Professional/United States (CIPP/US) credential, he regularly counsels businesses in all industries on compliance with state, federal, and international privacy laws, helps them respond to data breaches, and assists them in improving their operations around privacy and security.

Publications
Presentations
  • Presenter, "Vendor Engagements – Managing Cybersecurity and Privacy Risks," Thompson Hine's Investment Management Coffee Chat Webinar Series, May 2021
  • Presenter, "SEC’s New Marketing Rule – Testimonials, Endorsements and Solicitation Activity," Thompson Hine's Investment Management Coffee Chat Webinar Series, March 2021
  • Presenter, "SEC’s New Marketing Rule – Redefining 'Advertisement'," Thompson Hine's Investment Management Coffee Chat Webinar Series, March 2021
  • “Overview and Impacts of General Data Protection Regulation (GDPR) and MiFID II,”  Cincinnati Compliance Roundtable, March 2018
  • “Privacy and Data Security Considerations in M&A Transactions,” IAPP KnowledgeNet (Columbus), September 2017
  • “SEC Exams of Investment Advisers and Investment Companies - What to Expect, How to Prepare and Mock Exam Protocols,” the Central Ohio Compliance Association, September 2017
  • "Using Performance Data in Advertising – Guidelines and Recommendations for Avoiding the SEC’s Wrath," August 23, 2017
  • “Preparing for Changes to Form ADV – What You Need to Know Now,” the Central Ohio Compliance Association, April 2017
  • “Current Trends for Hedge Fund Managers: General Solicitation is In – ‘Bad Actors’ are Out,” the Central Ohio Compliance Association, November 2013
Professional and Civic

Professional Associations

  • International Association of Privacy Professionals (IAPP)

Community Activities

  • Alliance Française of Portland, Board Member, 2011-2013
  • Noontime Toastmasters of Portland, 2011-2013
News
EventsLegal Blog

Co-author, Source Code: A Compliance Guide for Robo-Advisers, www.roboadviserblog.com