Contact Kathryn Beller for additional information or to request a complimentary telephone consultation.
PRACTICE LIMITED TO
NEW YORK AND CONNECTICUT
Prior results do not guarantee a similar outcome.
Is your compliance program thorough, customized, and practical to administer?
Compliance services for:
Investment Managers
Hedge Funds
Mutual Funds
Portfolio Managers
Private Equity Funds
Commercial Banks
Broker-Dealers
Investment Advisors
Registered Investment Advisers (RIAs)
Issuers of Public and Private Securities
- Will you need to register with the SEC? Who will be your Chief Compliance Officer?
- If you are registered, will your CCO devote the time necessary to master rapidly developing changes? If so, will other operational duties be neglected?
- Are you ready for an SEC exam in the post-Madoff world?
- Is now the time for you to launch a new hedge fund, a small mutual fund, or some other proprietary product?
- Do you have limited in-house legal and compliance expertise or a tight budget?
Kathryn Beller is a licensed attorney with more than 25 years of experience in the financial services industry.
Kathryn focuses on building intelligent, customized compliance programs. With an extensive legal background, including experience as a partner in an international law firm, and years of working directly for clients, Kathryn combines unparalleled knowledge with highly personal attention.
