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.
- Advisory Board to Fordham Law School Program on Corporate Ethics and Compliance
- Washington D.C. Compliance Roundtable
- Loudoun Volunteer Medical Reserve Corps
- Fordham University School of Law, J.D., 1994, cum laude,
Order of the Coif
- Fairfield University, B.A., 1991, cum laude
- District of Columbia
- New York