Overview

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.

Podcasts
Market Matters: The Fiduciary Exception to the Attorney-Client Privilege
June 22, 2017

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.

Market Matters: Fiduciary Rule Impact
June 7, 2017

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. 

Market Matters: Serving Clients With Diminished Financial Capacity
April 26, 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.

Market Matters: ETF Liquidity Rule & ETF Regulation Under the New Administration
April 10, 2017

This episode features Bibb Strench, a partner in Thompson Hine’s Investment Management practice group, discussing the SEC’s regulation of ETFs.

Market Matters: Share Class Rules
March 23, 2017

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.


Market Matters: Annual Update of Form ADV
March 10, 2017

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.

Market Matters: Regulatory Outlook Under the Trump Administration
February 17, 2017

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.