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

Date: Tuesday, October 14, 2025
Time: 2:00 p.m. – 3:00 p.m. ET
Location: Virtual
Contact: Elise Hoffer, 513.352.6748, Elise.Hoffer@ThompsonHine.com

A webinar presented by Thompson Hine LLP

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

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
• 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

Moderator: Ernie Badway, Partner, Thompson Hine

Panelists: 

• Brittain Shaw, Partner, White Collar Defense & Investigations, Thompson Hine
• Mark Cipolletti, Partner, White Collar Defense & Investigations, Thompson Hine
• Ben Sandlin, Managing Associate, White Collar Defense & Investigations, Thompson Hine