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Professional background
Biography image

Kimberly MVersace

Counsel

Focus Areas

Examples of Kimberly’s experience include:

  • Counseling SEC-registered investment advisers and exempt reporting advisers on the development, implementation and oversight of comprehensive compliance programs.
  • Serving as chief compliance officer for an SEC-registered private fund adviser.
  • Drafting offering documents and counseling on the organization and offering of pooled vehicles.
  • Registering investment advisers with the SEC and advising with respect to ongoing regulatory reporting requirements and disclosures.
  • Counseling clients in responding to SEC examinations.
  • Conducting Rule 206(4)-7 annual reviews and mock examinations of investment advisers, including conducting mock interviews of key personnel and drafting written findings.
  • Training client personnel on regulatory, compliance and securities law matters, including the prevention of insider trading.
  • Negotiating confidentiality agreements, service provider agreements and other corporate contracts.
  • Drafting board materials and minutes and presenting to fund boards.

Professional Associations

  • Advisory Board to Fordham Law School Program on Corporate Ethics and Compliance
  • Washington D.C. Compliance Roundtable

Community Activities

  • Loudoun Volunteer Medical Reserve Corps

Education

  • Fordham University School of Law, J.D., 1994,
    cum laude
    ,

    Order of the Coif

  • Fairfield University, B.A., 1991,
    cum laude

Bar Admissions

  • District of Columbia
  • New York