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.
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.
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)