As the National Leader and Chief Legal Counsel for AUM, Kim helps lead the service line’s team of professionals. She advises on all aspects of registrant regulation and regulatory compliance. With over 28 years of experience navigating complex legal and regulatory frameworks, Kim focuses on registrant regulation, compliance, investment funds and related securities law matters.
Kim advises registered dealers, investment advisers and investment fund managers on a broad range of regulatory and compliance issues. She helps clients manage regulatory risk, develop and implement policies and procedures, and respond to compliance deficiencies and remediation matters. She has also advised domestic and international issuers on the formation and ongoing compliance requirements of various investment vehicles, as well as other securities law matters affecting registered firms.
Kim is recognized by clients for her professionalism, practical judgment, leadership and strategic insight in securities regulatory matters.
