Our Investment Management Practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, exchange-traded funds (ETFs), 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.
Please fill out this form if you'd like to subscribe to any of the electronic newsletters and alerts we publish on developments in many areas of the law, legislative and regulatory changes, and industry trends.
Provision of Certain Professional Services to Russia Prohibited under U.S. Sanctions - International Trade Update
May 13, 2022
SEC Marks Important Milestone with a Decade of EXAMS - Investment Management Update
May 04, 2022
SEC Proposes Amendments to Form PF - Investment Management Update
March 02, 2022
SEC Proposes Amendments to Money Market Fund Rules - Investment Management Update
January 10, 2022
FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories - Investment Management Update
January 05, 2022
SEC Proposes Enhanced Proxy Voting Disclosures - Investment Management Update
October 25, 2021
SEC Division of Investment Management Releases Statement on Bitcoin Futures and Registered Funds - Investment Management Update
May 14, 2021
SEC Announces 2021 Exam Priorities - Investment Management Update
March 19, 2021
SEC Modernizes Framework for Fund Valuation Practices - Investment Management Update
December 14, 2020
SEC Adopts New Fund Derivatives Rule - Investment Management Update
December 01, 2020
SEC Adopts New Rule for Fund of Funds Arrangements - Investment Management Update
October 21, 2020
SEC Proposes Mutual Fund and ETF Disclosure Amendments - Investment Management Update
September 25, 2020
SEC Expands Accredited Investor and Qualified Institutional Buyer Definitions - Investment Management Update
September 14, 2020
SEC Adopts Amendments to Exemptive Application Procedures - Investment Management Update
July 15, 2020
Business Law Update - Summer 2020 - Thompson Hine Newsletter
July 09, 2020
SEC Extends Relief for Virtual Meetings of Fund Boards - Investment Management Update
July 06, 2020
SEC Announces LIBOR Examination Initiative - Investment Management Update
July 01, 2020
Volcker Rule Changes Will Expand Banks’ Investment Abilities - Investment Management Update
July 01, 2020
OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues - Investment Management Update
June 26, 2020
Supreme Court Upholds SEC Disgorgement Powers, With Limitations - Securities Litigation Update
June 24, 2020
SEC Proposes Rule to Establish Framework for Fund Valuation Practices - Investment Management Update
May 12, 2020
SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans - COVID-19 Update
May 05, 2020
SEC Announces Exam Focus on Compliance with Form CRS and Regulation Best Interest - Investment Management Update
April 15, 2020
Exchanges Adopt Streamlined ETF Generic Listing Standards - ETF Reg Insights
April 13, 2020
The First Active Semi-Transparent ETFs Launch…with More to Come - ETF Reg Insights
April 10, 2020
FINRA Provides Critical Guidance on Net Capital Treatment of Loans Obtained by Broker Dealers through the Paycheck Protection Program of the CARES Act - Business Litigation Update
April 07, 2020
SEC Grants No-Action Relief to Permit Purchase of Debt Securities from Affiliated Mutual Fund* - COVID-19 Update
March 27, 2020
SEC Temporarily Exempts Open-End Funds from Some Short-Term Funding Requirements - COVID-19 Update
March 26, 2020
SEC Order Extends Reporting and Delivery Exemptions for Certain Public Companies - COVID-19 Update
March 26, 2020
FINRA Regulatory Guidance Provides Broker-Dealers Limited Relief Amid COVID-19 Outbreak - COVID-19 Update
March 23, 2020
SEC Issues Guidance for Registered Funds Facing Operational Challenges Due to COVID-19 - COVID-19 Update
March 20, 2020
SEC Provides Temporary Regulatory Relief for Investment Advisers - COVID-19 Update
March 18, 2020
SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns - COVID-19 Update
March 17, 2020
SEC Extends Relief Overriding In-Person Board Meeting Requirements - COVID-19 Update
March 16, 2020
California Attorney General Publishes Modifications to CCPA Regulations - Privacy & Cybersecurity Update
March 16, 2020
SEC Seeks Comment on Amending “Names Rule” to Eliminate Misleading Fund Names - Investment Management Update
March 13, 2020
SEC Sues Convertible Debt Lender for Alleged Registration Violation - Investment Management Update
March 04, 2020
SEC Grants Relief Overriding In-Person Meeting Requirement - Investment Management Update
March 03, 2020
SEC Proposes to Refine “Accredited Investor” Definition to Increase Investment Access - Investment Management Update
February 14, 2020
SEC Pursues Unregistered Adviser to Private VC Funds - Investment Management Update
February 12, 2020
SEC Proposes Rules Governing Use of Derivatives - Investment Management Update
January 30, 2020
OCIE Announces 2020 Examination Priorities - Investment Management Update
January 27, 2020
SEC Proposes Revisions to the Advertising Rules for Investment Advisers - Investment Management Update
December 05, 2019
The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs - ETF Reg Insights
December 02, 2019
ETF Complexes Should Prepare Now to Comply with New Rule 6c-11 to be in a Position to Unlock Its Key Regulatory Advantages by Year-End - ETF Reg Insights
October 03, 2019
Advisory Firm Fined $15 Million for Improper Fees on Inactive Accounts and Failure to Disclose Conflict of Interest - Investment Management Update
September 30, 2019
SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities and Proxy Advisory Firms - Investment Management Update
September 05, 2019
SEC Proposes Updates to Rules Governing CEFs - Investment Management Update
July 18, 2019
Converting a Mutual Fund to an ETF: Key Considerations - Investment Management Update
July 15, 2019
SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers - Investment Management Update
June 18, 2019
NFA Proposes Amendments to 2016 Cybersecurity Guidance - Investment Management Update
December 20, 2018
SEC Adopts Safe Harbor Rule for Investment Fund Research Reports - Investment Management Update
December 19, 2018
As a follow-up to our November 2019 podcast discussing last year’s proposed amendments to the SEC’s proxy voting rules, this second installment explores the final amendments as adopted, as well as guidance issued by the SEC to investment advisers regarding their proxy voting responsibilities. Mike Wible, a partner in our Investment Management practice joins Nathan Holmes, a partner in our Tax and Employee Benefits & Executive Compensation practices, to examine the latest developments and impacts of the newly adopted rules and guidance.
In this episode, Mike Wible, a partner in our Investment Management practice, and Nathan Holmes, a partner in our Tax and Employee Benefits & Executive Compensation practices, discuss proposed amendments to the proxy rules that would more substantively regulate proxy advisory firms.
In this episode, Mike Wible, a partner in our Investment Management practice, and David Wilson, a partner in our Securities & Shareholder Litigation practice, discuss recent areas of focus for the SEC’s Enforcement Division.
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.
IM Coffee Chat - Raising the Ante - The Impact of Valuation Rule 21-5 on Fund Advisers - 3.16.2022
IM Coffee Chat - Crypto/NFT Hot Topics - 2.2.2022
IM Coffee Chat - ERISA Update for Investment Advisers and Fund Managers - 1.19.2022
IM Coffee Chat - Launching an ETF - 12.01.2021
IM Coffee Chat - Diversity in the Boardroom - 11.3.2021
IM Coffee Chat - Recent Trends in Shareholder Litigation - 10.27.2021
IM Coffee Chat - Crypto Update: What Was Included in the Infrastructure Bill? - 10.13.2021
IM Coffee Chat - Enforcement Considerations for Trustees, Municipal Advisors and Issuers - 10.6.2021
IM Coffee Chat - A Guide to Mutual Fund Insurance - 7.27.2021
IM Coffee Chat - Resolving Exam or Enforcement Issues - 7.14.2021
IM Coffee Chat - Non-compete Agreements: What You Need to Know - 6.30.2021
IM Coffee Chat - So, You’re Not a Statistician: Value at Risk for Trustees - 6.16.2021
IM Coffee Chat - NYAG Blue Sky Law Modernization in Practice - 6.9.2021
IM Coffee Chat - Protecting Your Intellectual Property: Beware the Trolls - 5.26.2021
IM Coffee Chat - Considerations for Fund Governance - 5.19.2021
IM Coffee Chat - Session Fifteen - Private Equity in the Registered Fund Structure - 5.5.2021
IM Coffee Chat - Session Fourteen - The Current State of Private Equity - 4.29.2021
IM Coffee Chat - Session Thirteen - ERISA's Five-Part Investment Advice Test - 4.21.2021
IM Coffee Chat - Session Twelve - Cannabis and Division of Investment Management - 4.14.2021
IM Coffee Chat - Session Eleven - Converting a Mutual Fund to an ETF - 4.7.2021
IM Coffee Chat - Session Ten - ESG Investing from Different Angles - 3.31.2021
IM Coffee Chat - Session Six - SEC’s New Marketing Rule: Redefining “Advertisement” - March 03, 2021
IM Coffee Chat - Session Five - 2021 Form ADV Updates - February 26, 2021
IM Coffee Chat - Session Four - Building a Diverse Board - February 24, 2021
IM Coffee Chat - Session Three - Diversity in the Boardroom - February 17, 2021
IM Coffee Chat - Session Two - Bitcoin ETPs - February 10, 2021
IM Coffee Chat - Session One - Cryptocurrency Products: State of Play - February 3, 2021
Webinar Series for Private Funds – It's a New Day: Conflicts, Part II - August 12, 2020
Webinar Series for Private Funds – It's a New Day: Conflicts, Part I - July 29, 2020
Webinar: Seizing Opportunities in the ETF Marketplace - December 01, 2016