Search About People Industries Practices Careers Insights Frost Brown Todd Practices Corporate Law Investment Management Corporate Law 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. Finally, whether 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. Service Area Contacts Kevin L. Cooney Member West Chester, OH 513.870.8245 Email James A. Giesel Practice Group Leader Louisville, KY 502.568.0307 Email View All Attorneys Previous Wyoming Paves Way for DAO Legal Company Status August 2, 2021 SPACS – Is the Party Over? May 10, 2021 Next View All Privacy Policy Disclaimer EU Privacy Notice Subscribe Immigration Case Management Employee Access This is an Advertisement © 2021 Frost Brown Todd LLC