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Cassandra W.Borchers

PartnerChair, Blockchain & Cryptocurrenciesmoc.eniHnospmohT@srehcroB.ardnassaC
Cincinnati

O 513.352.6632

Cassandra W.Borchers

Partner
Chair, Blockchain & Cryptocurrenciesmoc.eniHnospmohT@srehcroB.ardnassaC
Cincinnati

O 513.352.6632

Focus Areas

  • Represents mutual funds and ETFs.
  • Regulatory review and negotiation of private fund investments for investment advisers and institutional investors.
  • Serving as chief compliance officer for a registered investment adviser.
  • Registering investment advisers with the SEC and individual states.
  • Representing alternative registered funds, including closed-end interval funds and closed-end tender offer funds.
  • Representing a variety of private funds and private fund advisers.
  • Representing issuers in private offering of unregistered securities.
  • Counseling on the organization of investment advisers and registered funds, including the organization and registration of investment companies, drafting of all fund offering documents and preparation of required materials and approvals for board meetings; providing ongoing administration of investment companies; and compliance review and advice.
  • Advising on a broad range of merger and acquisition transactions, ranging from very large transactions such as the acquisition and financing of professional sports franchise to the acquisition and sale of a variety of closely held and emerging enterprises.
  • Presenter, “In Focus – Nuts & Bolts of Series Trust Responsibilities,” MFDF, October 2024
  • Co-presenter, “Corporate Transparency Act’s Impact on Private Funds and Investment Managers,” Strafford, September 2024
  • Co-presenter, “AI and Fund Management: Practical Applications, Governance Insights, and Future Trends for Trustees,” Thompson Hine Investment Management Coffee Chat Series, September 2024
  • Co-presenter, “Mastering QPAM Exemption Changes: Essential Insights for Investment Managers,” Thompson Hine Investment Management Coffee Chat Webinar Series, June 2024
  • Co-presenter, “Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Marketing Rule (Referrals) and Proxy Voting Requirements,” Comply Connect Conference, June, 2024
  • Co-presenter, “Critical Skills for High-Performance Compliance Professionals: Closing the Circle: Matching Advertising, Contract, Disclosures and Procedures,” Comply Connect Conference, May, 2024
  • Co-presenter, “Interviewing for a Board Seat,” Thompson Hine Investment Management Coffee Chat Webinar Series, April 2024
  • Co-presenter, “Evolving Legal Practice: Shaping the Future of Law through Tech Innovation,” Thompson Hine Investment Management Coffee Chat, March 2024
  • Co-presenter, “Designing Your Strategic Plan for Getting on a Registered Fund Board,” Thompson Hine Investment Management Coffee Chat Webinar Series, January 2024
  • Co-presenter, “Understanding Custody: Practical Examples of SEC’s Findings Relating to Private Funds, Third Party Vendors, and more!” Comply Connect Conference, November 2023
  • Co-presenter, “Who Will Win the Crypto/SEC Tug of War?” Thompson Hine Investment Management Coffee Chat Webinar Series, November 2023
  • Co-presenter, “Critical Skills for High-Performance Compliance Professionals: Closing the Circle: Matching Advertising, Contract, Disclosures and Procedures,” Comply Connect Conference, July 2023
  • Co-presenter, “Form ADV Part 1: Annual Updating Amendment and More,” Comply Connect Conference, July 2023
  • Presenter, “Hello from the Metaverse: Is Anybody Out There?” Thompson Hine Webinar, February 2023
  • Panelist, “Developing Policies and Procedures for Cryptocurrency,” Comply Connect Conference, November 2022
  • Panelist, “Drafting Disclosures and Marketing Materials: Shifting Standards and New Challenges,” Comply Connect Conference, November 2022
  • Panelist, “The Shifting Regulatory Landscape,” North Capital Partner Summer, October 2022
  • Panelist, “Crypto Currency/NFT – What’s on the Digital Horizon?” Thompson Hine Premier Client Summit, May 2022
  • Presenter, “ERISA Update for Investment Advisers and Fund Managers, Thompson Hine Investment Management Coffee Chat Webinar Series, January 19, 2022
  • Presenter, “Crypto Update: What Was Included in the Infrastructure Bill?” Thompson Hine Investment Management Coffee Chat Webinar Series, October 13, 2021
  • Presenter, “Form ADV – 2021 Updates and Considerations,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 26, 2021
  • Presenter, “Cryptocurrency Products: State of Play,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 3, 2021
  • Panel Member, “It’s A New Day, Conflicts Part I,” Webinar, August 2020
  • “Ensuring Blockchain and Crypto Compliance for Your Business,” Finding Genius Podcast
  • Panel Member, Thompson Hine 11th Annual Hedge Fund Conference, New York, October 2018
  • Panel Member, Gemini Thought Leadership Boston Influencer Conference, November 2018
  • Presenter, Thompson Hine Qualified Opportunity Zones Briefing, Cleveland, December 2018
  • Presenter, Understanding Cryptocurrency as an Asset Class, Greater Cincinnati Mutual Fund Association, March 5, 2018
  • Presenter, Blockchain and Cryptocurrency:  What are they and why should you care? Financial Executives International, Committee on Corporate Reporting, March 2018
  • Presenter, Compliance Workshop, Greater Cincinnati Mutual Fund Association, June 6, 2017
  • Panel Member, “Distribution in Guise and Issues Impacting Transfer Agents,” Ultimus Client Summit, 2016
  • Mutual Fund Compliance Programs Conference, Investment Company Institute, Washington, DC; May 7, 2015
  • GCMFA Compliance & Operations Workshop, June 16, 2015
  • Panel Member, “Regulatory Roundtable,” Ultimus Client Summit, 2014
  • Panel Moderator, “Women in Hedge Funds,” Thompson Hine 10th Annual Hedge Fund Seminar, New York; October 15, 2014
  • “Why Launch A Registered Fund?” Thompson Hine Hedge Fund Conference, New York, October 2013
  • “Advancing Fund Governance Presentation,” Xavier University; October 24, 2013
  • “Regulatory & Compliance Issues Confronting Hedge Funds Today,” Thompson Hine Hedge Fund Event, New York; October 17, 2013
  • Panel Member, “Regulatory Hot Topics That Could Impact Your Business,” Ultimus Client Summit, 2013
  • “The Changing Landscape for Investment Advisers,” Cincinnati, May 2012
  • Recommended in Legal 500 in Mutual/Registered/Exchange-Traded Funds, 2024; listed in Investment Fund Formation and Management, 2018, 2019 and 2023

Professional Associations

  • Greater Cincinnati Mutual Funds Association, President
  • Aviatra Accelerators, Board Member
  • Arizona Venture Capital Conference, team member, 2000 to 2002
  • Kentucky State Bar Association
  • The Indus Entrepreneurs (TiE) Phoenix Chapter, 2000 to 2002
  • Arizona State Bar Association, 1999 to 2005

Community Activities

  • WE Lead 2017, Cincinnati Chamber of Commerce
  • Villa Madonna Academy Fine Arts Patrons, 2010 to 2023

Education

  • University of Cincinnati College of Law, J.D., 1995,
    with honors
  • Thomas More College, B.A., 1992,
    magna cum laude

Bar Admissions

  • Ohio
  • Kentucky
  • Arizona (inactive)
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