Thompson Hine’s Investment Management lawyers have intensive practical experience with federal and point out regulatory troubles impacting investment advisers providing expert services to domestic and offshore hedge money, registered investment companies, non-public equity resources and individually managed accounts.
Marc A. Sherman is usually a senior associate from the firm’s New York City Business in which his exercise focuses on building and normal liability litigation and appeals. Mr. Sherman represents residence owners, developers and contractors in particular injury actions introduced less than Ny’s Labor Legislation. He's skilled in defending purchasers in assets harm, development defect and typical liability statements, and he defends architects and engineers in Qualified liability actions.
Registration with both the Securities and Exchange Fee (SEC) or the suitable point out securities commissioner is needed of any firm (or particular person) that holds itself out to the general public as an investment adviser and who, for payment and as Component of its typical business, presents suggestions, makes tips, concerns reports or furnishes Investigation on securities or even the advisability of buying securities.
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Representing consumers in mergers and acquisitions of investment advisers, including aiding with homework
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For extra information about our Investment Administration apply and registered investment adviser services, you should Make contact with:
He has represented both borrowers and lenders in secured and unsecured credit card debt financing like bridge funding and convertible financial debt transactions.
Responding to regulatory inquiries and helping customers in planning for and responding to regulatory examinations
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Serve as counsel to organizations and folks as outdoors basic counsel and M&A/transactional counsel. Function organization advisor to business owners seeking aid with organization begin-up issues. I've dealt with numerous M&A specials, corporate, venture funds and industrial transactions worldwide, and convey the expertise of...
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He has considerable practical experience in all facets of the fund formation course of action, investment advisor registration and compliance, broker-vendor registration and compliance, and commodity pool operator and commodity trading advisor registration and compliance.