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:

  • Investment Advisers
  • Insurance Companies and Investment Companies
  • Investment Banking Firms
  • Banks and Trust Companies

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:

  • Design and formation of private 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