Investment Management
Comprising leading financial regulatory and investment management attorneys, our team advises a wide range of clients who either offer or deal with investment opportunities and products. We craft and implement compliance solutions for an investment company, investment adviser and broker-dealer regulatory issues and related issues affecting banks, trust companies, pension funds and a host of investment and financial products.
Our team is actively involved in the establishment and day-to-day operations and activities of both investment funds and investment advisors. For funds, we design sophisticated investment vehicles for private funds to invest in public companies and pooled investment structures for direct or venture capital investments. For advisors, we assist in the establishment and initial registration with regulatory authorities and oversee acquisitions of other advisory businesses.
Key Contacts
Partner
West Chester, OH
Practice Group Leader
Louisville, KY
Knowledge matters in regulatory matters.Whether counseling investment funds or advisors, our clients benefit from our team’s deep familiarity with the statutes and regulations directly affecting their businesses, including the Securities Act and Securities Exchange Act, the Investment Company Act, and their state or “blue sky” counterparts. |
March 10, 2025 | Publications
On February 27, 2025, Senator Bryan Hughes (R-Tyler) filed Senate Bill 29 (S.B. 29), proposing sever...
December 6, 2024 | Corporate Transparency Act
*This article was updated on Dec. 12 in response to new guidance from the Financial Crimes Enforceme...
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