Areas of Experience

  • Investment advisor performance calculation and portability
  • Securities valuation
  • Trade allocations
  • Portfolio management issues
  • Trading error management
  • Derivative transactions for Party A and Party B
  • Foreign currency hedging
  • Futures and commodity futures
  • Soft-dollar arrangements
  • Advertising communications
  • Disaster recovery
  • Insider trading
  • Electronic communications
  • Anti-money laundering

About Kathryn Beller

Broad and deep knowledge of:

Securities Act of 1933

Securities Exchange Act of 1934

Investment Company Act of 1940

Investment Advisers Act of 1940

Sarbanes-Oxley Act of 2002

Regulation S-P

For 25 years, I have represented money managers, hedge funds, private equity funds, commercial banks, broker-dealers, and issuers of public and private securities.

But it goes beyond experience. I know my clients not only as portfolio managers but also as fellow entrepreneurs. After all, I have built a highly successful professional practice by offering intelligent, sensible legal advice and, more importantly, by earning the trust of some of the brightest minds in the industry.

In 2004, I left behind two decades of practice in white-shoe law firms to focus my efforts on a select group of clients. I have intentionally limited my services to being Chief Compliance Officer or regulatory counsel for a small number of investment firms and money managers so that I am able to provide highly attentive service and client-specific advice.

My complete work history may be found in my CV and includes a partnership at McDermott, Will & Emery, a major international firm, and a senior associate position at Kaye Scholer, a prominent New York City firm. Clients appreciate that my fees reflect substantial experience but not unnecessary overhead.

I am admitted to practice law in the States of New York and Connecticut and, on an inactive basis, in the States of Colorado and Texas and the District of Columbia.

I graduated magna cum laude from the University of Houston Law Center, where I was an academic scholarship student, an editor of the Houston Law Review, and a member of the Order of the Coif honorary scholastic society. My bachelor’s degree is from Rice University.