PANEL: Navigating the ETF Legal & Compliance Landscape

Keri Riemer has extensive experience providing guidance to investment advisers and registered investment companies, including ETFs, mutual funds and alternative investment vehicles, such as interval funds and tender offer funds, on a broad range of federal securities law issues. She has represented clients in the formation of new products, mergers and acquisitions, SEC examinations and obtaining exemptive relief or other regulatory guidance, and has provided guidance regarding digital assets, ESG-related issues and compliance with new and proposed rules and other regulatory changes. Immediately prior to joining K&L Gates, Keri served as senior counsel in the Chief Counsel’s Office in the Securities and Exchange Commission’s Division of Investment Management and, just prior to that, as Executive Director and Assistant General Counsel at a large global asset management firm. As such, she brings a unique perspective to helping clients address legal and regulatory challenges relating to their business growth goals and operations.