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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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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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We respect your privacy. For a summary of what information we collect about you, the limited times when we may share it with others, and how we protect your privacy, please click on <a href="https://www.thompsonhine.com/privacy-policy/">“Privacy Policy”</a>.

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Broker-Dealers

ETF Practice

Family Office Services

Fund Service Providers

Hedge Funds

Interval Funds

Investment Adviser Lawyers

Investment Adviser Notice Filing Laws by State

Investment Companies/Mutual Funds

Overview of Regulation Best Interest and Care Obligations

SEC Announces 2025 Exam Priorities

Suspicious Activity Reporting Compliance: A Primer

Other Events

Videos

ETF and Fund Regulation – The Last Three Months of 2024, Part 1

Firm Events

Investment Management Coffee Chat Webinar – AI and Fund Management: Practical Applications, Governance Insights, and Future Trends for Trustees

The Updated QPAM Exemption in Practice

SEC Adopts Portfolio Reporting Enhancements; Declines Swing Pricing and Hard Close

Leading Securities Lawyer Ernest Badway Joins Thompson Hine in New York

District Court Blocks DOL Investment Advice Rule – For Now

Business Law Update – July 2024

Corporate Transparency Act Considerations for Private Investment Funds

Investment Management Coffee Chat Webinar Series – Mastering QPAM Exemption Changes: Essential Insights for Investment Managers

The Legal 500 Recognizes Several Thompson Hine Practices, Lawyers; Nine Practices and 32 Lawyers Receive National Acclaim

Fifth Circuit Strikes Down SEC Private Fund Adviser Rule

SEC Amends Regulation S-P to Address Information Security and Data Breach Response

IM Coffee Chat – Evolving Legal Practice: Shaping the Future of Law through Tech Innovation

IM Coffee Chat – Designing Your Strategic Plan for Getting on a Registered Fund Board

IM Coffee Chat – SEC Rulemaking Roundup: What’s Next?

Tax Court Addresses Limited Partners’ Self-Employment Tax Status

DOL Again Enters the Investment Advice Fray With Proposed Retirement Security Rule

IM Coffee Chat – Who Will Win the Crypto/SEC Tug of War?

OFAC Loosens Venezuelan Sanctions: Authorizes Transactions Involving Oil and Gas, State-Owned Gold Mining Company, and Certain Debt and Equity of Venezuela and PdVSA

IM Coffee Chat – Mutual Fund Board Roles and Responsibilities

SEC Adopts New Names Rule Under the Investment Company Act

SEC Adopts New Rules for Private Fund Advisers

NY Decision Sparks a Ripple Effect Across the Digital Assets Investment Industry

The Legal 500 Recognizes Several Thompson Hine Practices, Lawyers

SEC’s Recent Lawsuits Signal Heat Wave in Crypto-Winter

Thompson Hine Earns First-Tier Rankings in Chambers USA: Seventeen Practices and 47 Lawyers Recognized

SEC Announces 2023 Exam Priorities

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

Hello from the Metaverse: Is Anybody Out There?

New SEC Marketing Rule FAQ Addresses Gross and Net Returns in Certain Private Fund Performance Advertising

FTX Founder Arrested, Faces Indictment in SDNY

SEC Proposes Standardized ESG Disclosure for Funds and Advisers

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

Practices

Cassandra W. Borchers

Parker D. Bridgeport

Andrew J. Davalla

Donald S. Mendelsohn

Eric E. Miller

Daniel R. Moler

Philip B. Sineneng

Bibb Strench

Ryan Wheeler

Michael V. Wible

Zeynep Kart

Marc B. Minor

Jacob J. Denham

Jacob Olliffe

Randy Gerlach

Matthew R. Tobin

Megan W. Clement

Ernest E. Badway

Imani Tibbs Boone

Bruce Franzese

JoAnn M. Strasser

Partner

ETFs and Alts: What’s Around the Corner?

The Financial Times Ranks Thompson Hine #1 for Innovation in “New Working Model”

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

California Attorney General Publishes Modifications to CCPA Regulations

Converting a Mutual Fund to an ETF: Key Considerations

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

Exchanges Adopt Streamlined ETF Generic Listing Standards

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

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

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

OCIE Announces 2020 Examination Priorities

Overview of SEC Proposed Rule Changes for Business Development Companies

Preparing for the Next Generation of Actively Managed ETFs

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

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

SEC Extends Relief Overriding In-Person Board Meeting Requirements

SEC Grants No-Action Relief for Initial Coin Offering

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

SEC Grants Relief Overriding In-Person Meeting Requirement

SEC Issues Annual Meeting Guidance Amid COVID-19 Concerns

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

SEC Issues New Guidance Regarding Investment Advisers’ Proxy Voting Responsibilities

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

SEC Order Extends Reporting and Delivery Exemptions for Certain Public Companies

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

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