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. |
July 8, 2024 | Publications
On July 3, 2024, in the case of Ryan LLC et al. v. FTC, the United States District Court for the Nor...
May 10, 2024 | Publications
*This article was originally published in Reuter’s Attorney Analysis section on May 9, 2024. F...
May 2, 2024 | Publications
Kentucky House Bill 726 (the “Act”), relating to the regulation of financial institutions, was s...
April 30, 2024 | Publications
On April 23, 2024, the Federal Trade Commission (FTC) issued a Final Rule (the “Rule”) prohibiti...
April 16, 2024 | Publications
The Simple Agreement for Future Equity (SAFE) was introduced in 2013 on the startup accelerator Y Co...
March 14, 2024 | Publications
What Is Selective Disclosure? The desire of investors to obtain additional information regarding iss...
February 1, 2024 | Publications
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to spe...
December 6, 2023 | Corporate Transparency Act
Part I: Substantial Influence The Corporate Transparency Act (CTA)[i] was enacted to combat the use ...
November 6, 2023 | Corporate Transparency Act
The reporting requirements of the Federal Corporate Transparency Act (CTA)[1] will go into effect be...
October 12, 2023 | Blogs
The combination of the 21% corporate income tax rate and the possibility of qualifying for Section 1...
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