October 4, 2022

Volume XII, Number 277

Kathy Kresch Ingber

Ms. Ingber is a partner in the investment management group of K&L Gates and is based in the Washington D.C. office. She has more than twenty-five years of experience in representing investment companies, investment company Boards of Trustees/Directors, investment advisers and broker-dealers on a broad range of transactional, regulatory and compliance matters. She also advises the independent directors of investment companies on corporate governance and regulatory matters. Additionally, Ms. Ingber has substantial experience assisting clients in developing registered products using alternative strategies and “manager of managers” structures and structuring fund reorganizations. Her experience includes:

  • Investment Company Boards. Advising independent board members in their review of advisory, distribution, and other service provider contracts regarding their fiduciary and regulatory responsibilities. Significant boardroom experience and ongoing work with senior management with respect to Board meeting, governance and related matters. Developing governance programs for fund boards, including reviews of board committee structures, committee charters and industry practices.
  • Transactional. Structuring and advising investment companies and their Boards in connection with fund mergers, acquisitions and adoptions, including the conversion of a private fund to a registered investment company, and advisory firm changes of control. Preparing, reviewing and filing with the SEC related proxy and registration statements. Engaging in negotiations with SEC staff.Representing open and closed-end funds before the SEC on exemptive applications, registration statements and other regulatory filings;
  • Fund Organization and Operations. Providing legal advice related to investment products and strategies. Organizing and registering with the SEC open and closed-end investment companies using various types of structures, including fund of funds, multi-manager and multiple class arrangements. Assisting in the creation of funds that pursue alternative investment strategies, including managed futures funds. Negotiating contracts with principal service providers to investment companies. Preparing, reviewing and filing with the SEC related registration statements and exemptive applications. Related negotiations with SEC staff.
  • Regulatory and Compliance. Developing and reviewing compliance programs and liquidity risk management programs for investment companies and investment advisers. Advising open-end and closed-end investment companies, including interval funds and 1940 Act only registrants regarding compliance with applicable regulatory and disclosure requirements and regulatory developments.
  • Examinations. Advising investment companies, investment advisers and broker-dealers regarding the conduct of and responses to issues raised by SEC and FINRA staff during inspections and examinations. Related negotiations with SEC staff.

She frequently writes and speaks on regulatory developments affecting the investment management industry.

Articles in the National Law Review database by Kathy Kresch Ingber