FacultyFaculty/Author Profile
Bibb L. Strench

Bibb L. Strench

Thompson Hine LLP

Washington, DC, USA


Corporate Transactions & Securities
Investment Management

Overview

Bibb is a partner in the Corporate Transactions & Securities practice group. He focuses on exchange-traded funds (ETFs), closed-end funds, mutual funds and investment advisers. Bibb provides advice on regulatory, compliance, entity formation, auditor independence, corporate governance and other issues related to the operation of the aforementioned businesses. He has experience with unique fund structures including funds with alternative investment strategies, faith-based restrictions and multi-tier levels.

Bibb began his career as a staff attorney in the Division of Investment Management of the U.S. Securities and Exchange Commission, where he was principally responsible for granting exemptive orders and responding to no-action and interpretive requests under the Investment Company Act of 1940 and Investment Advisers Act of 1940. He has argued 1940 Act issues in federal and state courts, including the landmark mutual fund independent director case, Yacktman v. Carson, et al, and participated in the development of the Uniform Statutory Trust Entity Act.

Experience

  • Advising ETFs, mutual funds, closed-end funds and investment advisers on securities, foreign regulatory, compliance, SOX, privacy, cybersecurity and corporate governance issues
  • Drafting and filing Form N-1As, board materials, proxy statements, exemptive applications, anti-money laundering and other compliance procedures, Form ADVs and hedge fund documents
  • Establishing and structuring wrap fee programs including all contractual, disclosure and compliance documents
  • Negotiating advisory, distribution, loan, ISDA and other contracts
  • Reviewing fund and adviser marketing materials and social media
  • Developing and structuring investment funds and products including mutual funds, ETFs, listed and unlisted closed-end funds, and multi-manager and master-feeder funds
  • Representing fund boards of directors
  • Advising adviser and fund chief compliance officers on structuring compliance programs, drafting compliance procedures and preparing annual compliance reports
  • Guiding operating companies confronting inadvertent investment company issues
  • Advising one of the nation's largest financial institutions on auditor independence issues
Bibb L. Strench is associated with the following items:
Web Segment  Web Segment Fund Anatomy - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
Fund Marketing and Sale of Fund Shares - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
CHB Chapters  CHB Chapters Fund Anatomy - Basics of Mutual Funds and Other Registered Investment Companies 2017, Friday, April 21, 2017
MP3 Audio  MP3 Audio Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
Fund Anatomy - Fund Anatomy, Friday, April 21, 2017
Transcripts  Transcripts Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
Fund Anatomy - Fund Anatomy, Friday, April 21, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Fund Marketing and Sale of Fund Shares - Fund Marketing and Sale of Fund Shares, Friday, April 21, 2017
Fund Anatomy - Fund Anatomy, Friday, April 21, 2017
On-Demand Web Programs  On-Demand Web Programs Basics of Mutual Funds and Other Registered Investment Companies 2017, Monday, May 01, 2017, New York, NY
Treatise Chapters  Treatise Chapters Form of Organization - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Mutual Funds - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Soft Dollars - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law, Tuesday, October 24, 2017
Mutual Funds - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Tuesday, November 14, 2017
Introduction to Mutual Funds - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
An Overview of the Formation and Operation of Exchange-Traded Products - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Tuesday, November 14, 2017
An Overview of the Formation and Operation of Exchange-Traded Products - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
Board Structure and Processes - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
Shareholder Voting - Mutual Funds and Exchange Traded Funds Regulation, Tuesday, November 14, 2017
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