Our Investment Management Practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, exchange-traded funds (ETFs), broker-dealers, domestic and offshore hedge funds, private equity funds, fund service providers and independent directors and trustees. We help clients enter the industry, develop new products and services, expand their business through strategic planning and acquisitions, keep abreast of regulatory and industry developments, and interact with regulators.
We counsel our clients on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the broker-dealer provisions of the Securities Exchange Act of 1934, the Securities Act of 1933, FINRA (Financial Industry Regulatory Authority) regulations and Commodity Futures Trading Commission rules.
We represent investment companies, hedge funds, private equity funds, investment advisory firms and broker-dealers located in cities across the nation and around the world. These clients range in size from start-up ventures to large financial institutions and funds.
For more detail, please refer to our Investment Management Brochure.
JoAnn M. Strasser, Chair, Investment Management
As a follow-up to our November 2019 podcast discussing last year’s proposed amendments to the SEC’s proxy voting rules, this second installment explores the final amendments as adopted, as well as guidance issued by the SEC to investment advisers regarding their proxy voting responsibilities. Mike Wible, a partner in our Investment Management practice joins Nathan Holmes, a partner in our Tax and Employee Benefits & Executive Compensation practices, to examine the latest developments and impacts of the newly adopted rules and guidance.
This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will examine the 10 most significant trends that define the current investment management regulatory landscape.
This episode features JoAnn M. Strasser, a partner in the Investment Management practice group. She is joined by corporate attorney Jim Jensen, the founder of ClearWater Law & Governance Group and an independent trustee for two mutual fund complexes. They discuss issues to consider when selecting board members for investment companies.
In this episode Mike Wible, a partner in the Investment Management practice group, Craig Foster, an associate in the group, and Martin Dean, Vice President, Director of Fund Compliance for Ultimus Fund Solutions, examine one of the most critical pieces of an adviser’s or mutual fund’s compliance program – the annual review.
In this episode Cassandra W. Borchers, a partner in the Investment Management practice group, explains what is involved in an SEC examination and offers guidance on how to prepare for one.
This episode features Tanya L. Goins, counsel in the Investment Management practice group, discussing the process of converting a private hedge fund into a registered fund.
This episode features Philip B. Sineneng, an associate in the Investment Management practice group, discussing the fiduciary exception to the attorney-client privilege in the mutual fund context.
This episode features Edward C. Redder, a partner in the Employee Benefits & Executive Compensation practice, and Emily M. Little, an associate in the firm’s Investment Management practice group, discussing the impact of the Department of Labor’s Fiduciary Rule on the investment management industry. The Fiduciary Rule will become applicable on June 9, 2017.
This episode features Craig A. Foster and Joshua Hinderliter, associates in Thompson Hine’s Investment Management practice group, discussing an important issue that particularly affects investment advisers who serve retail clients as America’s senior population continues to increase: how to appropriately and effectively serve clients who have diminished financial capacity and may be vulnerable to financial abuse.
This episode features Bibb Strench, a partner in Thompson Hine’s Investment Management practice group, discussing the SEC’s regulation of ETFs.
In this episode Partner JoAnn M. Strasser discusses trends and opportunities in light of recent guidance and a no-action letter issued by the SEC, and offers some practical advice on distribution strategies for our fund clients.
This episode features Cassandra Borchers, a partner in Thompson Hine’s Investment Management practice group, discussing the annual update of Form ADV for registered investment advisers and exempt reporting advisers.
Our first episode features Michael V. Wible, a partner in Thompson Hine’s Investment Management practice group, discussing the regulatory outlook under the Trump administration.
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