Michael V. Wible

Practices

• Corporate Transactions & Securities

Professional Experience

Mike is a partner in the firm's Corporate Transactions & Securities practice group. His practice includes counseling investment companies, investment advisers and broker-dealers on issues related to the creation and offering of investment products and services. Mike concentrates on regulatory matters, including the organization, registration and operation of investment companies and investment advisers. He has experience in the development of new products and services, the development and implementation of compliance programs, the organization of domestic and offshore investment vehicles, the operation of municipal fund securities, and the merger and acquisition of investment companies and investment advisers.

Prior to joining Thompson Hine, Mike served as Counsel for Bank One Corporation where he was responsible for advising the bank's asset management line of business. Before Bank One, Mike served as Special Counsel in the Office of Insurance Products, Division of Investment Management at the U.S. Securities and Exchange Commission, focusing on variable annuity and variable life insurance products.

Mike is admitted to practice in Ohio, Minnesota, Washington, D.C. and Maryland.

Education

• American University, Washington College of Law, J.D., 1987, cum laude
• Miami University, B.A., 1984, cum laude, Phi Beta Kappa

• The Future of Managed Futures Funds, The Investment Lawyer, March 2011
• SEC Extends Compliance Dates for Adviser Brochure Supplements, Investment Management Update, February 2011
• SEC Proposes New Rules and Form ADV Amendments Implementing Investment Advisers Act of 1940 Provisions of the Dodd-Frank Act, Investment Management Update, December 2010
• SEC Adopts Amendments to Form ADV Part 2, Investment Management Update, August 2010
• SEC Proposes Rescinding Rule 12b-1 and Overhauling of Mutual Fund Distribution Fees, Investment Management Update, July 2010
• SEC Adopts "Pay-to-Play" Rules for Investment Advisers, Investment Management Update, July 2010
• Compliance Date for Identity Theft Rules Delayed Again, Privacy & Information Security and Investment Management Update, June 2010
• SEC Reviews Use of Derivatives by Investment Companies, Investment Management Update, March 2010
• AML Policy Statement on Obtaining and Retaining Beneficial Ownership Information, Investment Management Update, March 2010
• FINRA Releases Guidance on Blogs and Social Networking, Investment Management Update, January 2010
• Enhanced Governance and Risk Oversight Disclosure for Investment Companies Investment Lawyer, March 2010
• Enhanced Governance and Risk Oversight Disclosure for Investment Companies, Investment Management Update, January 2010
• SEC Adopts Rule Regarding Principal Trades with Certain Clients, Investment Management Update, January 2010
• Enhanced Mutual Fund Disclosure: Practical Strategies for Drafting Prospectus Summaries and Using Summary Prospectuses, The Investment Lawyer, November 2009
• Practical Tips for Drafting and Using a Summary Prospectus, Investment Management Update, August 2009
• SEC Proposes Pay-to-Play Rules for Investment Advisers, Investment Management Bulletin, August 2009
• Compliance Date for Red Flags Rules Delayed Due to Confusion Over Scope of Coverage, Investment Management Update, August 2009
• The Administration's Plan for Financial Regulatory Reform and Its Impact on Investment Companies, Investment Advisers and Broker-Dealers, Investment Management Update, June 2009
• Treasury Announces Second Extension of Temporary Guarantee Program for Money Market Funds, Investment Management Update, April 2009
• Treasury Announces Extension of Temporary Guarantee Program for Money Market Funds, Investment Management Update, December 2008
• FinCEN Withdraws Proposed Anti-Money Laundering Rules, Investment Management Update, November 2008
• FTC Grants Six-Month Delay in Red Flag Rules, Investment Management Update, October 2008
• SEC Adopts Interim Temporary Rule Requiring Short Sale Reporting, Investment Management Update, October 2008
• SEC Extends Emergency Orders, Investment Management Update, October 2008
• Treasury Announces Details of Temporary Guarantee Program for Money Market Funds, Investment Management Update, October 2008
• SEC Settles Action Against Fund for Violating Socially Responsible Investment Restrictions, Investment Management Update, August 2008
• Clarification of Cash Solicitation Rule, Investment Management Update, July 2008
• Seventh Circuit Rejects Gartenberg Standard in Adviser Fee Case and Fashions New Test, May 2008
• SEC Proposes Revisions to Regulation S-P and Expansion of Customer Privacy Requirements, April 2008
• SEC Re-Proposes Amendments to ADV Part 2 Form, April 2008
• Use of Rule 22c-2 Information for Marketing Purposes, September 2007
• SEC Adopts Amendments to the Mutual Fund Redemption Fee Rule and Extends Compliance Dates, October 2006
• NYSE Proposes Amendment to Broker Voting Rule, November 2006
• SEC Adopts Amendments to Redemption Fee Rule and Extends Compliance Dates, September 2006
• SEC Issues New Interpretive Guidance, Soft Dollar Arrangements, September 2006
• SEC Adopts Fund of Fund Rules, Investment Management Update, August 2006
• SEC Guidance on Side Letters, July 2006
• Suspicious Activity Report, Investment Management Update, July 2006
• Update on Fund Governance Rules, Investment Management Update, June 2006
• U.S. Court of Appeals Vacates Board Independence Requirements, April 2006
• Permanent Approval of NASD Rules on Bond Mutual Fund Volatility Ratings, March 2006
• NASD Interpretive Material on Gifts and Business Entertainment, February 2006, February 2006
• New Interpretation of Rule 452 and its Impact, Investment Management Update, November 2005
• Evaluation of the Chief Compliance Officer, September 2005
• Role of the Board of Trustees in a Fund's Compliance Program, September 2005
• NASD Proposal to Amend the Non-Cash Compensation Rules and Prohibit Certain Sales Contests, July 2005
• Responsibilities & Strategies, Board of Director Oversight, June 2005
• SEC Adopts Rule Excepting Brokers Offering Certain Fee-Based Brokerage Accounts from the Investment Advisers Act, May 2005
• The Annual Review and Report, Fund Compliance Programs, April 2005
• SEC Adopts Mutual Fund Redemption Fee Rules, March 2005
• Preparing for an SEC Examination, Fund Compliance Programs, March 2005