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.
Kevin L. Cooney
West Chester, OH
James A. Giesel
Practice Group Leader
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.
The Yin and the Yang of Delaware Corporate Law
August 10, 2022
SEC Proposes Rule Changes for Private Fund Advisers
July 29, 2022
Liability for Digitally Autonomous Organizations
May 20, 2022
Binance Decision Clarifies Extraterritorial Application of U.S. Securities Laws to Digital Asset Tra...
April 19, 2022
Wyoming Paves Way for DAO Legal Company Status
August 2, 2021
SPACS – Is the Party Over?
May 10, 2021
Operational Considerations for Implementation of the California Commercial Lender Disclosure Law
May 5, 2021
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