Meet Tom
Tom Bausch is a shareholder in the firm’s Investment Management practice. Tom partners with clients to provide practical, business-focused guidance designed to manage risk, support strategic objectives and maintain strong regulatory standing in an increasingly complex environment. He counsels clients on a broad range of regulatory matters, including fund registration, disclosure requirements and SEC filings.
Tom works closely with registered funds, including advising fund boards and trustees on corporate governance, fiduciary responsibilities, compliance programs and risk management strategies. His significant ETF experience spans novel product structuring and launches and helping clients ensure that transactions and product rollouts align with regulatory requirements. Tom has also guided many clients through mutual fund reorganizations, including several mutual fund-to-ETF conversions.
He also counsels investment advisers on matters related to SEC compliance, including the development and maintenance of compliance programs, regulatory filings and examination support. In addition, he advises private fund clients with respect to federal and state regulatory requirements.