Thompson Hine Podcasts

In this episode, Mike Wible, a partner in our Investment Management practice, and David Wilson, a partner in our Securities & Shareholder Litigation practice, discuss recent areas of focus for the SEC’s Enforcement Division. Their topics include: • Takeaways from the April 2019 SEC Speaks conference • Top 10 things to do – or not do – if you receive an informal inquiry request or a subpoena from E...

This episode features Cassandra W. Borchers, a partner in the Investment Management practice group. She is joined by Todd Cipperman, founding principal of Cipperman Compliance Services. They will explore the 10 most significant trends that define the current investment management regulatory landscape. Their topics will include: Their topics include: Investment advisers’ fiduciary responsibilities...

This episode features JoAnn M. Strasser, a partner in the Investment Management practice group. She is joined by corporate attorney Jim Jensen, the founder of ClearWater Law & Governance Group and an independent trustee for two mutual fund complexes. They discuss issues to consider when selecting board members for investment companies.

In this episode Mike Wible, a partner in the Investment Management practice group, Craig Foster, an associate in the group, and Martin Dean, Vice President, Director of Fund Compliance for Ultimus Fund Solutions, examine one of the most critical pieces of an adviser’s or mutual fund’s compliance program – the annual review.

July 10, 2017 - This episode features Tanya L. Goins, counsel in the Investment Management practice group, discussing the process of converting a private hedge fund into a registered fund.

August 28, 2017 - In this episode Cassandra W. Borchers, a partner in the Investment Management practice group, explains what is involved in an SEC examination and offers guidance on how to prepare for one.

June 22, 2017 - This episode features Philip B. Sineneng, an associate in the Investment Management practice group, discussing the fiduciary exception to the attorney-client privilege in the mutual fund context.

June 7, 2017 - This episode features Edward C. Redder, a partner in the Employee Benefits & Executive Compensation practice, and Emily M. Little, an associate in the firm’s Investment Management practice group, discussing the impact of the Department of Labor’s Fiduciary Rule on the investment management industry. The Fiduciary Rule will become applicable on June 9, 2017.

April 26, 2017 - This episode features Craig A. Foster and Joshua Hinderliter, associates in Thompson Hine’s Investment Management practice group, discussing an important issue that particularly affects investment advisers who serve retail clients as America’s senior population continues to increase: how to appropriately and effectively serve clients who have diminished financial capacity and may...

April 10, 2017 - This episode features Bibb Strench, a partner in Thompson Hine’s Investment Management practice group, discussing the SEC’s regulation of ETFs.

March 23, 2017 - In this episode Partner JoAnn M. Strasser discusses trends and opportunities in light of recent guidance and a no-action letter issued by the SEC, and offers some practical advice on distribution strategies for our fund clients.

March 10, 2017 - This episode features Cassandra Borchers, a partner in Thompson Hine’s Investment Management practice group, discussing the annual update of Form ADV for registered investment advisers and exempt reporting advisers.

February 17, 2017 - Our first episode features Michael V. Wible, a partner in Thompson Hine’s Investment Management practice group, discussing the regulatory outlook under the Trump administration.