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?

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.