Investment Management

Frost Brown Todd's Investment Management Group assists a wide range of clients who offer or otherwise deal with investment opportunities and products. Our attorneys advise and represent clients on investment company, investment adviser, and broker-dealer regulatory issues, related issues affecting banks and pension funds, and other matters involving investment and financial products. Some of our clients include:

• Mutual Funds and Investment Companies
• Investment Banking Firms
• Banks and Trust Companies
• Insurance Companies
• Investment Advisers
• Broker-dealers

The Investment Management Group is actively involved not only with the establishment of funds and investment advisers, but also with assisting clients in their operations and activities. We understand the securities laws directly affecting our clients' businesses, including the compliance provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and their state counterparts.

Investment Funds

Frost Brown Todd attorneys represent various types of investment funds and assist them in both organizational and operational issues, including:

• Organization and registration of mutual fund complexes, including master-feeder funds
• Design and formation of private equity investment funds that invest in public companies
• Design and formation of pooled investment vehicles targeted to venture capital and other direct investments
• Development and registration of variable annuity and variable life insurance products
• Mergers, liquidations and reorganizations of mutual fund families
• Applications for exemptive relief from various provisions of the federal securities laws
• Board governance including responsibilities of independent directors
• Ongoing compliance and regulatory issues

Investment Advisers

Frost Brown Todd lawyers counsel registered investment advisers in all areas of their operations, including:

• Establishment and initial registration with applicable regulatory authorities
• Acquisitions by fund advisers of investment advisory businesses
• Ongoing compliance and regulatory issues

Broker-Dealers

Attorneys with Frost Brown Todd have provided legal advice in connection with the establishment and initial registration of broker-dealers with applicable regulatory authorities. Our team has also worked with broker-dealer firms in developing policies and procedures designed to achieve compliance with applicable securities laws and rules and regulations. We have also advised banks and other financial institutions about broker-dealer contracts and compliance issues.

Service Area Contact(s)

  • James A. Giesel

    502.568.0307
  • Alan K. MacDonald

    502.568.0277