Our Investment Management Practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, 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.
SEC Charges 13 Private Fund Advisers for Failures to File Form PF - Investment Management Update
June 14, 2018
SEC Proposals Promote Distribution of Research on Investment Funds - Investment Management Update
June 11, 2018
SEC Proposes Changes to Auditor Independence - Investment Management Update
June 05, 2018
SEC’s NMS Pilot Program of Vital Interest to ETFs - ETF Update
May 10, 2018
OCIE Issues Risk Alert Regarding Advisory Fee Violations - Investment Management Update
April 26, 2018
SEC Proposes Changes to Liquidity Risk Disclosures - Investment Management Update
March 26, 2018
Fifth Circuit Vacates DOL Fiduciary Rule - Employee Benefits & Investment Management Update
March 20, 2018
OCIE Announces 2018 Examination Priorities - Investment Management Update
March 02, 2018
Business Law Update – Fall 2017 - Thompson Hine Newsletter
November 07, 2017
Most Common Advertising Rule Compliance Issues Raised in OCIE Deficiency Letters - Investment Management Update
October 26, 2017
Advisers Must Offer Investors the Lowest-Fee Share Class Available - Investment Management Update
September 25, 2017
SEC Risk Alert Highlights Cybersecurity Compliance Risks of Broker-Dealers, Investment Advisers and Fund Companies - Investment Management Update
August 17, 2017
SEC Eases Form ADV Compliance Deadline for Interim Updates - Investment Management Update
August 16, 2017
Fund of Funds Investor Loses Appeal on Excessive Fee Case - Investment Management Update
August 02, 2017
Supreme Court Ruling Limits SEC Disgorgement Recoveries - Investment Management Update
June 30, 2017
Federal Court Upholds Attorney-Client Privilege in Discovery Dispute - Investment Management Update
May 25, 2017
SEC Issues Guidance on Robo-Advisers - Investment Management Update
March 21, 2017
DOL Proposes Fiduciary Rule Delay - Employee Benefits & Investment Management Update
March 01, 2017
OCIE Identifies Five Most Common Adviser Compliance Deficiencies - Investment Management Update
February 14, 2017
SEC Issues Guidance on Section 22(d) Restrictions - Investment Management Update
February 07, 2017
Department of Labor Directed to Examine Final Fiduciary Rule - Investment Management Update
February 06, 2017
SEC Guidance for Funds Offering Sales Load Variations and New Share Classes - Investment Management Update
January 30, 2017
Federal Court Permits Fiduciary Exception to Attorney-Client Privilege - Investment Management Update
December 13, 2016
SEC Approves FINRA Rule Amendments Governing Mutual Fund Retail Communications - Investment Management Update
November 07, 2016
Investment Company Reporting Modernization - Investment Management Update
November 03, 2016
Business Law Update – Fall 2016 - Thompson Hine Newsletter
October 31, 2016
SEC Adopts Rule Requiring Liquidity Risk Management Programs for Funds - Investment Management Update
October 24, 2016
SEC Proposes Business Continuity & Transition Plan Rule - Investment Management Update
July 06, 2016
SEC Issues No-Action Relief to ETF Seeking to Exceed Insurance Company Investment Limits - Investment Management Update
May 12, 2016
FINRA Issues Report on Digital Investment Advice - Investment Management Update
April 27, 2016
The DOL’s Final Fiduciary Rule Released: Investment Professional’s Perspective - Investment Management Update
April 08, 2016
The DOL’s Final Fiduciary Rule Released: Plan Sponsor’s Perspective - Employee Benefits Update
April 08, 2016
Advisers Fined for Steering Clients to Higher-Fee Funds - Investment Management Update
March 31, 2016
Funds Must Disclose Risks Related to Current Market Conditions - Investment Management Update
March 22, 2016
FINRA Proposes Revised Broker-Dealer Pay-to-Play Rules - Investment Management Update
March 01, 2016
Business Law Update — Winter 2016 - Thompson Hine Newsletter
January 25, 2016
2016 FINRA Exam Priorities - Investment Management Update
January 20, 2016
SEC Proposes Derivative Rules for Registered Investment Companies - Investment Management Update
December 17, 2015
Do’s & Don’ts for Advisers & Funds With Outsourced CCOs - Investment Management Update
December 01, 2015
New AML Regulations Proposed for Certain Investment Advisers - Investment Management Update
October 22, 2015
SEC Proposes Fund Liquidity Risk Management Programs - Investment Management Update
October 15, 2015
Money Market Fund Rule Amendments - Investment Management Update
September 28, 2015
OCIE Names Focus Areas for 2015 Cybersecurity Examinations - Investment Management Update
September 24, 2015
SEC Brings First Enforcement Action Under Distribution-in-Guise Initiative - Investment Management Update
September 23, 2015
Second Circuit Broadens Dodd-Frank Whistleblower Interpretation - Investment Management Update
September 15, 2015
Directors, Trustees and Administrators Beware: SEC Sanctions Fund Trustee for Failure to Disclose Relationship with Consulting Arm of Fund’s Audit Firm - Investment Management Update
July 02, 2015
SEC Brings Charges Related to 15(c) Process Failures - Investment Management Update
June 22, 2015
SEC Proposes New Reporting Rules - Investment Management Update
June 18, 2015
SEC Proposes Changes to Form ADV & Recordkeeping Requirements - Investment Management Update
June 08, 2015
FINRA Proposes Changes to Retail Communications Rules - Investment Management Update
June 02, 2015
Department of Labor Revises “Investment Advice” Definition - Employee Benefits & Investment Management Update
May 20, 2015
SEC Enforcement Action Highlights Profitability Analysis in 15(c) Process - Investment Management Update
May 12, 2015
Cybersecurity Guidance Update for Funds & Advisers - Investment Management Update
May 05, 2015
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
OCIE Announces 2015 Examination Priorities - Investment Management Update
January 23, 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
Supreme Court Expands SOX Whistleblower Protection to Service Providers’ Employees - Investment Management Update
March 11, 2014
OCIE Unveils Plan to Examine Never-Before-Examined Advisers - Investment Management Update
March 10, 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
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 Notice Regarding Inflation Indexing of Performance Fee Rule - Investment Management Update
May 19, 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
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.
