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Home | Thompson Hine LLP

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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.

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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.

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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.

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Investment Management Questions?

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Broker-Dealers

ETF Practice

Family Office Services

Fund Service Providers

Interval Funds

Investment Adviser Lawyers

Investment Adviser Notice Filing Laws by State

Investment Companies/Mutual Funds

The Legal 500 Recognizes Several Thompson Hine Practices, Lawyers

SEC Proposes Standardized ESG Disclosure for Funds and Advisers

Firm Events

Videos

Startups Streamlined – Crypto & the Regulatory Landscape: What You Need to Know

Provision of Certain Professional Services to Russia Prohibited under U.S. Sanctions

SEC Marks Important Milestone with a Decade of EXAMS

IM Coffee Chat – Raising the Ante – The Impact of Valuation Rule 2a-5 on Fund Advisers

IM Coffee Chat – Responding to a Cybersecurity Incident: Reporting and Disclosure Obligations

SEC Proposes Amendments to Form PF

IM Coffee Chat – 2022 Compliance Priorities and Predictions

IM Coffee Chat – Crypto/NFT Hot Topics: What’s on the Digital Horizon in 2022

IM Coffee Chat — ERISA Update for Investment Advisers and Fund Managers

SEC Proposes Amendments to Money Market Fund Rules

FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories

IM Coffee Chat – When Your LIBOR-Linked Products Turn Into a Pumpkin

IM Coffee Chat – Launching an ETF: The First Ten Boxes to Check

IM Coffee Chat – The Ghosts of Section 36(b) Excessive Fee Litigation: Past, Present and Future

IM Coffee Chat – Diversity in the Boardroom: NASDAQ Rule Implementation Update

IM Coffee Chat – Recent Trends in Shareholder Litigation

SEC Proposes Enhanced Proxy Voting Disclosures

IM Coffee Chat – Crypto Update: What Was Included in the Infrastructure Bill?

IM Coffee Chat – Enforcement Considerations for Trustees, Municipal Advisors and Issuers

IM Coffee Chat – Session Twenty-Three – Resolving Exam or Enforcement Issues

IM Coffee Chat – Twenty-Two – Non-compete Agreements: What You Need to Know

Legal 500 Recognizes Several Thompson Hine Practices, Lawyers 2021

IM Coffee Chat – Session Twenty-One – Handling Regulatory Inquiry – Mock Exams

IM Coffee Chat – Session Twenty – So, You’re Not a Statistician: Value at Risk for Trustees

IM Coffee Chat – Session Nineteen: NYAG Blue Sky Law Modernization in Practice

IM Coffee Chat – Session Eighteen: Protecting Your Intellectual Property – Beware the Trolls

IM Coffee Chat – Session Seventeen: Considerations for Fund Governance

SEC Division of Investment Management Releases Statement on Bitcoin Futures and Registered Funds

IM Coffee Chat – Session Sixteen – Vendor Engagements – Managing Cybersecurity and Privacy Risks

IM Coffee Chat – Session Fifteen – Private Equity in the Registered Fund Structure

IM Coffee Chat – Session Fourteen – The Current State of Private Equity

IM Coffee Chat – Session Thirteen: ERISA’s Five-Part Investment Advice Test – The DOL Changes Course

IM Coffee Chat – Session Twelve – Cannabis and Division of Investment Management

IM Coffee Chat – Session Ten – ESG Investing from Different Angles

IM Coffee Chat – Session Nine – R.I.P. ESG? Implications of Recent ERISA Guidance on ESG Investing

SEC Announces 2021 Exam Priorities

IM Coffee Chat – Session Eight – New Adviser Advertisement Rule – Performance Advertising

IM Coffee Chat – Session Seven – SEC’s New Marketing Rule: Testimonials and Endorsements

IM Coffee Chat – Session Six – SEC’s New Marketing Rule

IM Coffee Chat – Session Five – 2021 Form ADV Updates

IM Coffee Chat – Session Four – Building a Diverse Board

IM Coffee Chat – Session Three – Diversity in the Boardroom

IM Coffee Chat – Session Two – Bitcoin ETPs

Investment Management Coffee Chat – Webinar Series

Thompson Hine Elects 11 New Partners

SEC Modernizes Framework for Fund Valuation Practices

SEC Adopts New Fund Derivatives Rule

Thompson Hine Again Secures “Best Law Firms” First-Tier Rankings

Electronic Disclosure: SEC Regulations and the Form CRS Business Case

SEC Adopts New Rule for Fund of Funds Arrangements

SEC Proposes Mutual Fund and ETF Disclosure Amendments

SEC Expands Accredited Investor and Qualified Institutional Buyer Definitions

Webinar Series for Private Funds – It’s a New Day: Fees & Expenses and Codes of Ethics

Webinar Series for Private Funds – It’s a New Day: Conflicts, Part II

Thompson Hine Adds Senior Lawyers Marc B. Minor and Eric E. Miller to Investment Management Practice

Webinar Series for Private Funds – It’s a New Day: Conflicts, Part I

Legal 500 Recognizes Several Thompson Hine Practices, Lawyers 2020

SEC Adopts Amendments to Exemptive Application Procedures

Business Law Update – Summer 2020

SEC Extends Relief for Virtual Meetings of Fund Boards

SEC Announces LIBOR Examination Initiative

Volcker Rule Changes Will Expand Banks’ Investment Abilities

OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues

Supreme Court Upholds SEC Disgorgement Powers With Limitations

SEC Proposes Rule to Establish Framework for Fund Valuation Practices

SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans

SEC Announces Exam Focus on Compliance with Form CRS and Regulation Best Interest

Exchanges Adopt Streamlined ETF Generic Listing Standards

The First Active Semi-Transparent ETFs Launch…with More to Come

FINRA Provides Critical Guidance on Net Capital Treatment of Loans Obtained by Broker Dealers through the PPP of the CARES Act

SEC Grants No-Action Relief to Purchase of Debt Securities from Affiliated Mutual Fund

SEC Order Extends Reporting and Delivery Exemptions for Certain Public Companies

SEC Temporarily Exempts Open-End Funds from Some Short-Term Funding Requirements

FINRA Regulatory Guidance Provides Broker-Dealers Limited Relief Amid COVID-19 Outbreak

SEC Issues Guidance for Registered Funds Facing Operational Challenges Due to COVID-19

SEC Provides Temporary Regulatory Relief for Investment Advisers

SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns

California Attorney General Publishes Modifications to CCPA Regulations

SEC Extends Relief Overriding In-Person Board Meeting Requirements

SEC Seeks Comment on Amending “Names Rule” to Eliminate Misleading Fund Names

SEC Sues Convertible Debt Lender for Alleged Registration Violation

SEC Grants Relief Overriding In-Person Meeting Requirement

SEC Proposes to Refine “Accredited Investor” Definition to Increase Investment Access

SEC Pursues Unregistered Adviser to Private VC Funds

SEC Proposes Rules Governing Use of Derivatives

OCIE Announces 2020 Examination Priorities

SEC Proposes Revisions to the Advertising Rules for Investment Advisers

The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs

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

Advisory Firm Fined $15 Million for Improper Fees on Inactive Accounts and Failure to Disclose Conflict of Interest

ETFs and Alts: What’s Around the Corner?

SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities

SEC Proposes Updates to Rules Governing CEFs

Converting a Mutual Fund to an ETF: Key Considerations

SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers

Overview of SEC Proposed Rule Changes for Business Development Companies

SEC Poised to Permit ActiveShares ETF: First Non-Transparent Actively Managed ETF

Practices

Cassandra W. Borchers

Parker D. Bridgeport

Andrew J. Davalla

Richard S. Heller

Tashia Love

Donald S. Mendelsohn

Eric E. Miller

Daniel R. Moler

Philip B. Sineneng

Bibb Strench

Ryan Wheeler

Michael V. Wible

Partner

JoAnn M. Strasser

FINRA Guidance Permits Pre-Inception Index Performance Data in Fund Communications with Institutional Investors

Preparing for the Next Generation of Actively Managed ETFs

SEC Grants No-Action Relief for Initial Coin Offering

SEC Issues No-Action Letter Regarding Fund Board In-Person Voting Requirements

SEC Proposes New Rule for Fund of Funds Arrangements

Podcasts

Market Matters – Proposed Proxy Rule Amendments – 11.2019

Market Matters – SEC Enforcement: Updates & Response Strategies

Market Matters: SEC Amends Proxy Voting Advice Rules

Corporate Transactions & Securities

ESG Collaborative

Blockchain & Cryptocurrencies

Cannabis Industry

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Franchising & Distribution

Fund Formation

Hedge Funds

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Securities, Capital Markets & Corporate Governance

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<a href="https://www.thompsonhine.com/professionals/strasser-joann" target="_self">JoAnn M. Strasser</a>, Chair, Investment Management

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