As the National Leader and Chief Legal Counsel for AUM, Kim helps to lead the service line’s team of professionals. She advises on all aspects of registrant regulatory compliance. With over 27 years of legal experience, Kim specializes in registrant regulation, regulatory policy and investment funds.
Kim’s experience includes advising clients on a broad range of regulatory and compliance issues involving registered dealers, advisers and investment fund managers. She has also advised domestic and international issuers on the formation and compliance requirements for various types of investment vehicles and other general securities law matters impacting registered firms.
Kim is recognized by clients for her professionalism, practical and inspired advice, leadership and broad strategic expertise in her field.
