Thompson Hine is a leading adviser on all aspects of alternative investments to financial services firms, asset managers and investment funds. We represent clients ranging from small startup and boutique operations to some of the largest financial institutions in the world.
Our hedge fund lawyers bring more than eight decades of experience to bear on the challenges and opportunities our clients face, and our commitment to the hedge fund community runs deep. Our team includes former SEC staff members and chief compliance officers of Fortune 10 financial services firms, and our lawyers actively participate in leading industry associations such as the Hedge Fund Association (Richard Heller is an HFA Director) and the Managed Funds Association. Thompson Hine also hosts a annual seminar for hedge fund managers and professionals regarding regulatory and marketplace developments.
At Thompson Hine, we offer our clients a unique understanding of the hedge fund market, and apply our experience to help them every step of the way in structuring, forming and operating successful funds in a highly competitive marketplace.
For additional information, please visit our Hedge Fund site.
We offer comprehensive services and advice on structuring, forming and operating successful funds; this is not an all-inclusive list. If you have questions, please contact Richard Heller (212.908.3907) or James Jalil (212.908.3976).
- Representing hedge fund sponsors in forming and structuring funds that pursue a variety of proprietary investment strategies, including funds of funds.
- Advising clients in connection with the formation and structure of hedge fund general partner entities.
- Negotiating seed investment deals.
- Drafting fund limited partnership and limited liability company agreements.
- Negotiating and evaluating investments in financial instruments, such as pooled investment funds, futures agreements, repurchase agreements, swaps and other derivatives.
- Organizing and registering investment advisers with the SEC and state regulators.
- Advising clients in connection with Dodd-Frank and the JOBS Act.
- Counseling clients with respect to SEC, CFTC, FINRA and NFA compliance.
- Preparing compliance programs and conducting compliance reviews of registered investment advisers who manage hedge funds.
- Advising clients in light of the relaxation of the prohibition on general solicitations under the JOBS Act.
- Counseling clients in connection with the marketing of hedge funds, including the presentation of performance information.
- Reviewing advertising and marketing material.
- Defending clients in SEC enforcement matters.
- Providing advice on SEC proceedings.
- Defending registered broker-dealers and representatives before the FINRA.
- Advising fund managers in daily operations of fund-management entities.
- Advising clients seeking to enter new markets, such as the EU.
- Advising activist fund managers on proxy solicitations.
- Negotiating investment side-letters with large institutional investors.
- Preparing hedge fund offering documents and exhibits and related federal and state securities filings.
- Assisting fund managers and investors with the preparation and completion of due diligence matters, including questionnaires submitted to prime brokers.
- Preparing private placement memoranda.
Confidentiality Agreements Have “Chilling” Effect on Would-Be Whistleblowers - Investment Management Update
April 07, 2015
SEC Issues Gifts & Entertainment Guidance - Investment Management Update
March 23, 2015
SEC Grants Orders to Include In-Laws in Family Office Exemption - Investment Management Update
March 03, 2015
SEC Notice Seeks Relief for ETMFs - Investment Management Update
December 15, 2014
Second Circuit Overturns Insider Trading Convictions - Corporate Law & Investment Management Update
December 11, 2014
New SEC Rules to Combat Technology Glitches and Enhance Cybersecurity - Privacy & Investment Management Update
December 09, 2014
SEC Guidance on Consolidating Investment Company Financial Statements - Investment Management Update
November 13, 2014
SEC Takes Action Against Corporate Insiders for Disclosure Violations - Investment Management Update
September 17, 2014
CFTC Harmonizes General Solicitation Rules With the JOBS Act - Investment Management Update
September 15, 2014
SEC Brings First Pay-to-Play Rule Action Against Investment Adviser - Investment Management Update
August 04, 2014
Investment Adviser Proxy Voting Responsibilities & Use of Proxy Advisory Firms - Investment Management Update
July 24, 2014
SEC Issues Guidance on Affiliated Transactions by Series Investment Companies - Investment Management Update
July 22, 2014
Proposed Exemption from Commodity Pool Operator Status for Certain Advisers to Registered Investment Companies - Investment Management Update
July 21, 2014
SEC Issues Guidance on Mutual Fund Summary Prospectuses - Investment Management Update
July 07, 2014
Investment Management Advisers, Testimonials & Social Media - Investment Management Update
July 02, 2014
SEC Sanctions Broker-Dealer for Improper Soft Dollar Payments - Investment Management Update
March 24, 2014
SEC to Focus on “Never-Been-Examined” Advisers - Investment Management Update
November 04, 2013
SEC Proposes Crowdfunding Rules - Investment Management Update
October 29, 2013
SEC Guidance on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel - Investment Management Update
October 25, 2013
Private Equity Funds May Face ERISA Liability - Investment Management Update
September 30, 2013
General Solicitation Under the JOBS Act: Practical Tips for CPOs and CTAs - Investment Management Update
August 12, 2013
General Solicitation Under the JOBS Act: Practical Tips for Hedge Fund Managers - Investment Management Update
August 08, 2013
Hedge Fund Solicitation Ban Lifted by SEC - Investment Management Update
July 12, 2013
SEC Ranieri Case: The Consequences of Being an Unregistered Finder - Investment Management Update
April 16, 2013
Recent OCIE Examinations Highlight Importance of Adviser Adherence to Custody Rule - Investment Management Update
March 25, 2013
SEC Approves New FINRA Filing Requirements - Investment Management Update
September 12, 2012
The JOBS Act: Impact on Investment Funds - Investment Management Update
April 12, 2012
CFTC Adopts Rule Amendments Affecting CPOs and CTAs - Investment Management Update
March 30, 2012
SEC Amends Performance Fee Rule - Investment Management Update
March 09, 2012
SEC Approves Form PF - Investment Management Update
November 15, 2011
SEC Grants No-Action Relief From Pay-to-Play Recordkeeping Rules - Investment Management Update
September 16, 2011
New Retirement Plan Disclosures — Are You Ready? - Employee Benefits and Investment Management Update
July 22, 2011
SEC Adopts New Rules and Amendments Under Dodd-Frank Act - Investment Management Update
July 13, 2011
SEC Proposes to Disqualify Felons and Other “Bad Actors” from Rule 506 Offerings - Investment Management Update
June 06, 2011
SEC Issues Report on Investment Adviser Examinations - Investment Management Update
February 07, 2011
SEC Extends Compliance Dates for Adviser Brochure Supplements - Investment Management Update
January 04, 2011
SEC Proposes New Rules and Form ADV Amendments Implementing the Investment Advisers Act Provision of the Dodd-Frank Act - Investment Management Update
December 15, 2010
Congress Passes Legislation Clarifying Red Flags Rule; Compliance Deadline Approaches - Privacy & Information Security and Investment Management Update
December 10, 2010
SEC Proposes Registration Exemptions for Advisers to Venture Capital Funds and Certain Private Funds and Foreign Advisers - Investment Management Update
December 02, 2010
DOL Proposes Update to Definition of Fiduciary to Include More Advisers - Investment Management Update
November 22, 2010
SEC Proposes Rule Defining “Family Office” Exclusion Under Investment Advisers Act - Investment Management Update
October 21, 2010
- 100 Women in Hedge Funds
- Alternative Investment Management Association (AIMA)
- American Bar Association Securities Litigation Section
- Commodity Futures Trading Commission
- Financial Advisor
- Financial Industry Regulatory Authority (FINRA)
- FINRA Firm Gateway/Web CRD Site
- FINRA Web CRD Registered Representative Site
- Financial Services Institute Inc.
- Hedge Fund Association (HFA)
- Hedge Fund Group (HFG)
- Hedge Fund Journal
- HFA TV
- International Securities Association for Institutional Trade Communication (ISITC)
- Institutional Investor
- Managed Funds Association (MFA)
- National Association of Broker/Dealers (NABD)
- National Investment Banking Association (NIBA)
- National Society of Compliance Professionals
- North American Securities Administrators Association (NASAA)
- Practising Law Institute (PLI)
- Securities and Exchange Commission (SEC)
- Securities Industry and Financial Markets Association
- Securities Industry/Regulatory Council on Continuing Education
- Women in the Boardroom