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.