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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

Kevin L. Cooney Profile Image
Kevin L. Cooney

Partner

West Chester, OH

James A. Giesel Profile Image
James A. Giesel

Practice Group Leader

Louisville, KY

Knowledge matters in regulatory matters.ย 

Whether counseling investment funds or advisors, our clients benefit from our teamโ€™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 โ€œblue skyโ€ counterparts.

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A Refresher on Selective Disclosure and Anti-Fraud Rules

March 14, 2024 | Publications

What Is Selective Disclosure? The desire of investors to obtain additional information regarding iss...

SEC Adopts Final Rules Relating to SPACs

February 1, 2024 | Publications

On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to spe...

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Corporate Transparency Act: Who Can Exert Substantial Influence on My Company? Part I

December 6, 2023 | Corporate Transparency Act

Part 1: Substantial Influence The Corporate Transparency Act (CTA)[i] was enacted to combat the use ...

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Reporting Under the Corporate Transparency Act โ€“ Is My Company Exempt?

November 6, 2023 | Corporate Transparency Act

The reporting requirements of the Federal Corporate Transparency Act (CTA)[1] will go into effect be...

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Introducing the QSBS Guidebook for Family Offices and Private Equity Firms

October 12, 2023 | Blogs

The combination of the 21% corporate income tax rate and the possibility of qualifying for Section 1...

Stock photo of a beautiful young womanโ€™s face very close up. Sheโ€™s looking at a complicated set of holographic, see-thru numbers. The numbers are also reflected in her spectacles.
The Corporate Transparency Act: Considerations for Effectively Using the FinCEN Identifier

July 28, 2023 | Blogs

The Corporate Transparency Act (CTA) is scheduled to take effect in a matter of months (on January 1...

Deja Vu: DOL Issues Final Rule on Use of ESG Factors and Shareholder Rightsโ€ฆAgain

December 12, 2022 | Publications

On November 22, 2022, the Department of Labor (DOL) released a Final Rule, titled โ€œPrudence and Lo...

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The Yin and the Yang of Delaware Corporate Law

August 10, 2022 | Blogs

For more than a century, Delaware has been the 800-pound gorilla of corporate law. Two million busin...

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SEC Proposes Rule Changes for Private Fund Advisers

July 29, 2022 | Blogs

On February 9, the Securities and Exchange Commission (SEC) proposed new rules under the Investment ...

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DOJ Announces First Insider Trading Charges Involving Non-Fungible Tokens

June 8, 2022 | Blogs

On June 1, 2022, the Department of Justice (DOJ) announced the indictment of a former product manage...

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