Kathleen M. Macpeak

Of Counsel

Kathleen M. Macpeak’s practice focuses on investment company and investment adviser regulatory issues and related issues affecting the investment management activities of financial institutions. She counsels clients on the formation and ongoing regulation of investment companies, with a focus on exchange-traded funds (ETFs), their investment advisers, and listing markets. She also advises on closed-end fund shelf offerings and related regulatory issues.

Extended Profile

Kathleen additionally advises on various regulatory compliance and securities law issues, including mergers and acquisitions involving investment companies and investment advisers; interpretive and “no-action” letter requests; SEC exemptive orders; and related matters. Among Kathleen’s clients are some of the largest exchange traded and mutual fund groups in the country. In additional to over a decade in private practice exclusively as a 1940 Act attorney, Kathleen also worked in house as a senior attorney at Morgan Stanley in its New York City offices assisting its legal, marketing and business units with their registered and private fund products, institutional account clients and wrap products and other securities related initiatives.

Education

Catholic University of America, 1996, Bachelor of Arts
Catholic University of America Columbus School of Law, 1999, Juris Doctor

Admissions

District of Columbia
Maryland

Awards and Affiliations

Member, Best ETF Law Firm, ETF Express US Awards (2021, 2022)

Member, ETF Law Firm of the Year, ETF.com (2019)

Member, Best ETF Legal & Compliance Firm, ETF Express (2019)

Member, Practice Group of the Year, Asset Management, Law360 (2017)