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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Date: Tuesday, October 14, 2025 Time: 2:00 p.m. – 3:00 p.m. ET Location: Virtual Contact: Elise Hoffer, 513.352.6748, <a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com</a>

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A&nbsp;webinar presented by Thompson Hine LLP

Session 7: Under the Microscope: Government Scrutiny in Investment Management

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Government scrutiny of the investment management industry is intensifying—and firms across the spectrum are feeling the impact. From heightened enforcement priorities to evolving expectations around ESG, digital assets, and private funds, the risks are real and growing. Our speakers will address:

Key enforcement priorities at the SEC, DOJ, and FINRA

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Case studies involving private funds, ESG, and digital assets

Practical tips for avoiding and responding to subpoenas, sweeps, and exams

How to maximize cooperation credit and implement effective remediation

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Moderator: <a href="https://www.thompsonhine.com/professionals/ernest-e-badway/">Ernie Badway</a>, Partner, Thompson Hine Panelists:&nbsp;

<a href="https://www.thompsonhine.com/professionals/brittain-shaw/">Brittain Shaw</a>, Partner,&nbsp;White Collar Defense &amp; Investigations, Thompson Hine

<a href="https://www.thompsonhine.com/professionals/mark-j-cipolletti/">Mark Cipolletti</a>, Partner, White Collar Defense &amp; Investigations, Thompson Hine

<a href="https://www.thompsonhine.com/professionals/ben-sandlin/">Ben Sandlin</a>, Managing Associate, White Collar Defense &amp; Investigations, Thompson Hine

Investment Management Coffee Chat Series – Session 7 – Under the Microscope: Government Scrutiny in Investment Management

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