|
|
|
919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2557
E:
|
Kelli L. Moll is a partner in the New York office, where her areas of concentration include the formation and ongoing operation of hedge funds and private equity funds, and counseling investment advisers. Kelli has represented numerous hedge funds and their managers in connection with fund formations, compensation and vesting arrangements, spin-offs of proprietary trading groups, the acquisition of trading groups, seed capital arrangements, private equity co-investments and registration and compliance under the Investment Advisers Act of 1940.
Kelli lectures extensively on hedge funds. As the first speaker in a new InterLinks podcast series targeting the financial services industry, Kelli presented on "U.S. and E.U. Proposed Legislation: New Regulation Requirements and Assessing Systemic Risk." She was invited to discuss product development issues at Campbells Cayman Fund Focus Conference 2009, hedge fund regulations at PLI’s Investment Management Institute and establishing a framework of internal policies, practices and controls at a recent American Conference Institute event. Kelli has also authored numerous articles on issues affecting investment funds and their managers. After obtaining a B.S. in finance from the University of Illinois at Urbana-Champaign in 1989, Kelli attended Loyola University Chicago School of Law, where she was both a staff editor of The Business Lawyer and case editor of the Loyola Consumer Law Reporter, receiving her J.D. in 1993.
Selected Representations
Represents numerous large entrepreneurial and institutional managers in the formation of hedge and private equity funds.
Represents managers of hedge funds and private equity funds regarding compensation arrangements among partners and employees including vesting arrangements and restrictive covenants.
Represented proprietary trading groups in spin-off from investment banks, including a purchase of the proprietary book, and subsequent seed arrangement with the investment bank.
Represents investment managers in the acquisition of trading groups including acquisitions of funds.
Represents investment managers in private equity co-investments.
Represents investment managers in variety of seed capital arrangements.
Represents investment managers with regard to registration under the Investment Advisers Act of 1940 and related compliance.
Selected Publications
“SEC Publishes Revised Soft Dollar Guidance,” SRZ Client Alert, Aug. 14, 2006 (co-author)
“SEC Staff Issues No-Action Letter Providing Guidance with Respect to Principal Transactions,” SRZ Client Alert, July 10, 2006 (co-author)
“SEC Staff Provides No-Action Position On Custody Rule,” SRZ Client Alert, August 2004 (co-author)
“Practical Application of The New Issues Rule For Investment Funds,” SRZ Investment Management Developments, Spring 2004 (co-author)
“Proposed Rules by The Securities Exchange Commission Would Mandate Compliance Programs for Registered Investment Companies and Investment Advisers,” SRZ Investment Management Developments, Winter/Spring 2003 (co-author)
Analysis of Regulatory Issues Involved in Structuring and Operating Private Equity Funds (Practising Law Institute) December 1999 (co-author)
“Who Is a Knowledgeable Employee and Qualified Purchaser—SEC Provides Guidance to Technical Questions,” SRZ Investment Management Developments, Spring 1999
More
Selected Speaking Engagements
“Relationships With Institutional Investors,” SRZ 21st Annual Private Investment Funds Seminar, January 2012
“The Nuts & Bolts of Managing ERISA Plan Assets,” SRZ Investment Management Hot Topics, New York, June 2011
“Managing Compliance Strategically,” SRZ 20th Annual Private Investment Funds Seminar, New York, January 2011
“Marketing Hurdles for Private Fund Managers,” ACA 2010 Compliance Conference, San Diego, September 2010
“Performance Advertising: Protecting Your Firm in a Competitive Marketing Environment,” SRZ Investment Management Alumni Roundtable, New York, July 2010
“The Changing Landscape of the Investor-Manager Relationships Negotiating with Sizeable Investors,” SRZ Investment Management Hot Topics, New York, May 2010
“The True Value of Hedge Fund Managed Accounts,” FRA Hedge Fund Managed Accounts Webinar, May 2010
“New Investor Terms and Demands,” SRZ 19th Annual Private Investment Funds Seminar, New York, January 2010
“Hedge Funds at Large,” NYU Hedge Fund Panel “Hedge Funds in Today's Economy,” New York, November 2009
“Product Development,” Campbells Cayman Fund Focus-2009, Grand Cayman, October 2009
“Preparing for SEC Registration and New Reporting Requirements,” SRZ Investment Management Hot Topics, New York, September 2009
“Liquidity Terms: What Works and What Doesn't in Times of Crisis,” SRZ 18th Annual Private Investment Funds Seminar, New York, January 2009
“Causes of Recent Financial Crisis and Effect on Fund Structures,” Cayman Funds Focus 2008, Grand Cayman, February 2008
“Spotlight on Compliance: Key Issues for 2008,” SRZ 17th Annual Private Investment Funds Seminar, New York, January 2008
“SEC's Proposed Anti-Fraud Rules Covering Fund Investors,” SRZ Investment Management Hot Topics Seminar, New York, February 2007
“Lift-outs: Both Sides of the Story,” SRZ Greenwich Private Investment Funds Seminar, Greenwich, CT, May 2007
“Managing Liquidity,” SRZ 16th Annual Private Investment Funds Seminar, New York, January 2007
“SEC Examination Hot Topics,” National Regulatory Services Compliance Conference, November 2006
“Compliance and Examinations,” SRZ 15th Annual Private Investment Funds Seminar, January 2006
“The Regulation of Hedge Funds,” Practising Law Institute (PLI) Investment Management Institute: Meeting the Challenge of a New Regulatory Regime, April 2005
“Establishing a Framework of Internal Policies, Practices, and Controls,” American Conference Institute’s Hedge Funds: Developing and Implementing Compliance Best Practices in the New Regulatory Environment Conference, January 2005
“Developing an Effective Compliance Program for Registered Investment Advisers,” SRZ Private Investments Funds Current Issues and Trends Seminar, January 2005
“Marketing Your Private Investment Fund,” SRZ Private Investments Funds Current Issues and Trends Seminar, November 2004
“The Revised Custody Rule,” Financial Research Associates (FRA) Investment Adviser Compliance Forum, May 2004
“The Impending Regulation of Hedge Funds,” PLI Investment Management Institute, April 2004
“U.K. and U.S. Regulatory Developments,” SRZ Transatlantic View of Emerging Hedge Fund Issues Conference, October 2003
“Hedge Funds in a Mutual Fund Environment: What You Need to Know Regarding Structure, Compensation and Regulatory Issues,” The Hedge Fund 2001 Summit, September 2001
“Surviving an SEC Inspection: Examination of Registered Advisers,” Institute for International Research (IIR), June 2000
“Hot to Get Business,” Advisers Education Group Conference, March, June, September and December 1999; March, June and September 2000; and March 2001
More
Memberships
American Bar Association
Bar Admissions
Education
-
Loyola University Chicago, J.D., 1993
- Staff Editor, The Business Lawyer
- Case Editor, Loyola Consumer Law Reporter
-
University of Illinois, Urbana-Champaign, B.S., 1989
|
|