Cassandra is a partner in the Corporate Transactions & Securities practice group. She counsels clients on regulatory and compliance matters including all aspects of federal and state securities law and related issues, such as registration, regulatory reporting, cryptocurrency, private fund and mutual fund matters.
Cassandra's practice has focused primarily on securities, finance and venture capital, cryptocurrency and blockchain matters, corporate representation and governance matters, and all aspects of counseling emerging companies. She has assisted private and public companies, including mutual funds, in securities offerings, commodity pools, private equity issues, formation, registration, mergers and reorganizations. She has represented both issuing companies and investors in a variety of transactions, digital token sales and securities offerings.
Experience
· Serving as chief compliance officer for a registered investment adviser.
· Registering investment advisers with the SEC and individual states.
· Representing alternative registered funds, including closed-end interval funds
· Representing a variety of private funds and private fund advisers.
· Representing issuers in private offering of unregistered securities.
· Counseling on the organization of investment advisers and registered funds, including the organization and registration of investment companies, drafting of all fund offering documents and preparation of required materials and approvals for board meetings; providing ongoing administration of investment companies; and compliance review and advice.
· Advising on a broad range of merger and acquisition transactions, ranging from very large transactions such as the acquisition and financing of professional sports franchise to the acquisition and sale of a variety of closely held and emerging enterprises.
Publications
· “Angel Investing on the Rise: Legal Considerations for the Formation of an Angel Fund,” Thompson Hine Business Law Update, Summer 2017
· “Investment Company Reporting Modernization,” Thompson Hine Investment Management Update, November 2016
· “Funds Must Disclose Risks Related to Current Market Conditions,” Thompson Hine Investment Management Update, March 2016
· “New AML Regulations Proposed for Certain Investment Advisers,” Thompson Hine Investment Management Update, October 2015
Presentations
· Presenter, Compliance Workshop, Greater Cincinnati Mutual Fund Association, June 6, 2017
· Panel Member, “Distribution in Guise and Issues Impacting Transfer Agents,” Ultimus Client Summit, 2016
· Mutual Fund Compliance Programs Conference, Investment Company Institute, Washington, DC; May 7, 2015
· GCMFA Compliance & Operations Workshop, June 16, 2015
· Panel Member, “Regulatory Roundtable,” Ultimus Client Summit, 2014
· Panel Moderator, “Women in Hedge Funds," Thompson Hine 10th Annual Hedge Fund Seminar, New York; October 15, 2014
· “Why Launch A Registered Fund?” Thompson Hine Hedge Fund Conference, New York, October, 2013
· "Advancing Fund Governance Presentation," Xavier University; October 24, 2013
· "Regulatory & Compliance Issues Confronting Hedge Funds Today," Thompson Hine Hedge Fund Event, New York; October 17, 2013
· Panel Member, “Regulatory Hot Topics That Could Impact Your Business,” Ultimus Client Summit, 2013
· "The Changing Landscape for Investment Advisers," Cincinnati, May 2012
Professional & Civic
Professional Associations
· Kentucky State Bar Association
· Greater Cincinnati Mutual Fund Association, Board Member
· Arizona Venture Capital Conference, team member, 2000 to 2002
· The Indus Entrepreneurs (TiE) Phoenix Chapter, 2000 to 2002
· Arizona State Bar Association, 1999 to 2005
Community Activities
· WE Lead 2017, Cincinnati Chamber of Commerce
· Villa Madonna Academy Fine Arts Patrons, 2010 to present