Kathleen H. Moriarty

Transcription

1 Kathleen H. Moriarty Partner Madison Avenue New York, NY Practices FOCUS: Financial Services Investment Companies Liquid Alternatives Securities Public Funds Financial Services Regulatory and Compliance Entrepreneurial Ventures Advertising, Marketing and Promotions Intellectual Property Licensing Intellectual Property Structured Products Industries Financial Institutions Recognition Super Lawyers, Kathleen Moriarty has extensive experience representing investment companies and their advisors in connection with the creation, structuring and development of new exchange-traded products (ETPs). Kathleen was actively involved in the development of Standard & Poor's Depository Receipts (SPDRs) and has since advised on the creation of many more exchange-traded funds (ETFs), including ishares, Vanguard Exchange- Traded Funds, ProShares, WisdomTree and IndexIQ. Domestically, she represents a wide variety of market participants in connection with commodity-backed derivative securities and non-investment company exchange traded vehicles (ETVs), such as the SPDR Gold Trust, the US ETFs precious metals trusts, and the Winklevoss Bitcoin Trust, which is currently in registration with the Securities and Exchange Commission. She also provides advice to international regulators on the topic of ETPs. Kathleen counsels traders and broker-dealers about trading issues relating to the purchase and sale of ETP shares and also represents ETP managers in connection with the licensing of financial indexes, as well as index providers licensing their financial products to ETPs. In addition, she works with hedge funds and other pool operators to bring their products to wider retail and individual markets, bringing her Investment Company Act of 1940 ('40 Act) and Jumpstart Our Business Startups Act (JOBS Act) insights to her clients to assist them in navigating the US regulatory landscape. Kathleen is regularly quoted in the media about issues relating to ETPs, financial indexes, liquid alts and Bitcoin. She has published various articles and frequently speaks at industry conferences and webinars on these topics. Kathleen is an inaugural member of the ETF DataBase's ETF Hall of Fame, a recipient of two Global ETP Icons of the Industry Awards and the winner of the first ETF.com Lifetime Achievement Award. Memberships American Bar Association, Federal Regulation of Securities Subcommittee on Investment Companies and Investment Advisors; Regulation of Futures and Derivative Instruments Committee NASDAQ, Listing and Hearing Review Council

2 Capital Link Annual Close-End Fund and ETF IR Awards, Honorable Mention for Contribution to the Exchange Traded Funds Sector ETF Hall of Fame, Inaugural Member ETP Icon of the Industry, 2012, 2013 Financial Times, US Innovative Lawyers 2013 ETF.com Lifetime Achievement Award, 2014 Education JD, University of Notre Dame Law School AB, Smith College Bar Admissions New York Association of the Bar of the City of New York, Investment Management Regulation Committee The Women's Investment Management Forum Journal of Indexes, Editorial Board Women in ETFs, Board Member NASDAQ OMX, Global Index Advisory Council '40 Acts Committee Advisories Recent Key Bitcoin and Virtual Currency Regulatory and Law Enforcement Developments (November 13, 2014) New York Issues Proposed Bitcoin Regulations (July 29, 2014) SEC Focuses on Burgeoning Liquid Alternative Funds Market (July 14, 2014) IRS Issues Pronouncement on Virtual Currencies (April 3, 2014) Bitcoin: Current US Regulatory Developments (November 26, 2013) CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also Adopts Changes Applicable to All CPOs (August 22, 2013) Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations (August 5, 2013) Head of SEC Investment Management Division Announces Top Regulatory Priorities (February 25, 2013) All Advisers to Registered Investment Companies Need to Evaluate Their Exposure to CFTC Regulation After Recent Rule Amendment (February 22, 2012) Alternative Pay to Play Recordkeeping Requirements Approved for Advisers to Registered Funds (September 21, 2011) Supreme Court Limits Liability of Mutual Fund Advisor for Fund Prospectus Misstatements (July 21, 2011) Financial Reform Bill Reshapes Investment Adviser Regulation (July 29, 2010) SEC Staff Conducting Broad Analysis of Derivative Use by Registered Funds: Certain ETF Applications Are Temporarily Placed on Hold Until Study Is Concluded (March 26, 2010) Fund Investing Enters the Internet Age: New Fund Prospectus Rules (March 4, 2009) SEC Proposal Outlines Duties of Mutual Fund Boards in Monitoring Best Execution (August 2008) SEC Proposes New Rules to Streamline ETF Formation (March 24, 2008)

3 Articles Co-author, Katten Discusses SEC's Focus on Liquid Alternative Funds Market, The CLS Blue Sky Blog (August 4, 2014) Co-author, The Evolution of a New Asset Class, Law360 (January 2, 2014) Co-author, Private Roundtable: Bitcoin (October 30, 2013) "Legal and Regulatory Issues Related to ETFs and Certain Other Exchange- Traded Instruments," Exchange-Traded Funds: Conceptual and Practical Investment Approaches (A. Seddik Meziani (ed.), Risk Books, London) (June 1, 2009) Newsletters Conference of State Bank Supervisors Issues Draft Model Regulatory Framework on Virtual Currency DFS Superintendent Lawsky Discusses Revised BitLicense Framework Corporate and Financial Weekly Digest - Volume IX, Issue 49 (December 19, 2014) SEC Sanctions Operator of Unregistered Virtual Currency Exchanges NYS Department of Taxation and Finance Issues Tax Guidance on Virtual Currency Transactions Corporate and Financial Weekly Digest - Volume IX, Issue 48 (December 12, 2014) NYS DFS Publishes All BitLicense Comments; California Considers Regulation Corporate and Financial Weekly Digest - Volume IX, Issue 47 (December 5, 2014) SEC Approves New Exchange Traded Mutual Fund Structure SEC Investment Management Director Speech Focuses on Alternative Mutual Fund Disclosures Corporate and Financial Weekly Digest - Volume IX, Issue 44 (November 7, 2014) SEC Denies Two Proposed Applications for Non-Transparent Active ETFs Corporate and Financial Weekly Digest - Volume IX, Issue 42 (October 24, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 40 (October 10, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 36 (September 12, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 33 (August 22, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 32 (August 15, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 29 (July 25, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 28 (July 18, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 25 (June 20, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 19 (May 9, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 14 (April 4, 2014) Corporate and Financial Weekly Digest - Volume IX, Issue 11 (March 14, 2014)

4 Corporate and Financial Weekly Digest - Volume IX, Issue 5 (January 31, 2014) Corporate and Financial Weekly Digest - Volume VIII, Issue 32 (August 16, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 23 (June 7, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 20 (May 17, 2013) Corporate and Financial Weekly Digest - Volume VIII, Issue 12 (March 22, 2013) Corporate and Financial Weekly Digest - Volume VII, Issue 47 (December 21, 2012) Corporate and Financial Weekly Digest - Volume VII, Issue 46 (December 14, 2012) Corporate and Financial Weekly Digest - Volume V, Issue 31 (August 6, 2010) Corporate and Financial Weekly Digest - Volume IV, Issue 16 (April 24, 2009) Corporate and Financial Weekly Digest - Volume IV, Issue 2 (January 16, 2009) Corporate and Financial Weekly Digest - Volume III, Issue 45 (December 12, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 43 (November 21, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 40 (October 31, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 36 (October 3, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 27 (July 25, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 26 (July 18, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 21 (June 6, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 12 (March 28, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 10 (March 7, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 7 (February 15, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 3 (January 18, 2008) Corporate and Financial Weekly Digest - Volume III, Issue 1 (January 4, 2008) Corporate and Financial Weekly Digest - Volume II, Issue 45 (December 7, 2007) Speaking Engagements & Presentations Panelist Alternative Mutual Funds Risk Governance Under SEC Scrutiny, Webinar (February 17, 2015 ) Panelist DIY: A Guide to Building, Registering & Selling a New ETF, Hollywood, Florida (January 28, 2015) Panelist Blockchain Technical & Legal Workshop, Cambridge, Massachusetts (January 15 16, 2015)

5 Presenter Liquid Alts for Fund Managers, New York, New York (October 8, 2014) Presenter Liquid Alts for Fund Managers, New York, New York (October 1, 2014) Panelist Katten's Summer 2014 Review: Financial Services Regulatory and Legal Development Highlights, New York, New York (September 10, 2014) Moderator, Bitcoins, Fantasy or Reality? 2014 IAQF Annual Conference, New York, New York (June 2, 2014 ) Panelist 13th Annual Capital Link Closed-End Funds and Global ETFs Forum, New York, New York (April 24, 2014) Panelist, The Global ETP Marketplace Developments and a Look Forward 10th Annual Global ETF Awards, New York, New York (April 10, 2014) Panelist, The Evolution and Future of ETFs What You Need to Know STANY 78th Annual Conference & Dinner, New York, New York (April 10, 2014) Panelist, How Future ETF Regulation Will Impact Your Business and Clients Seventh Annual Inside ETFs Conference, Hollywood, Florida (January 26 29, 2014) Panelist Private Roundtable: Bitcoin, New York, New York (October 30, 2013) Panelist Effective Fund Distribution Strategies, New York, New York (June 13, 2013) Panelist Pooled Vehicles: Entering the Retail Space, New York, New York (April 29, 2013) Presenter, How Can Issuers and Investors Identify New and Unexpected Risks? Diversified Asset Show 2012, London, United Kingdom (October 24 25, 2012) Panelist, Will Possible Regulatory Changes Impact Future ETP Product Design? 8th Annual Global ETF Awards Workshop, New York, New York (April 26, 2012) Moderator, Examining Developments for Exchange Traded Funds 22nd Annual Conference on Globalisation of Investment Funds, Boston, Massachusetts (May 15 18, 2011) Moderator, The Changing Regulatory Landscape 2nd Annual Inside ETFs Europe Conference, Amsterdam, Netherlands (May 5 6, 2011) Panelist, Advanced ETFs Workshop 4th Annual Inside ETFs Conference, Hollywood, Florida (February 6 8, 2011) Moderator, Why Actively Managed ETFs Are Gaining Popularity The 15th Annual Super Bowl of Indexing, Phoenix, Arizona (December 5 8, 2010) Panelist ETF Administration, Webinar (September 10, 2010) Panelist, Inverse/Leveraged Products: Trading or Investment Vehicles? Inside ETFs - Europe Conference, Amsterdam, Netherlands (April 12 13, 2010) Speaker 3rd Annual Inside ETFs Conference, Boca Raton, Florida (January 10 12, 2010)

6 Moderator, The Impact of Regulatory Reform on ETFs and Index Products The 14th Annual Super Bowl of Indexing, Phoenix, Arizona (December 6 9, 2009) Panelist Do Non-Traditional ETFs Belong in Client Portfolios?, Webinar (October 6, 2009) Speaker, Investment Funds Joint Meeting on Harmonization of Regulation, Washington, DC (September 2 3, 2009) Speaker, Updates on Regulatory Developments 5th Annual Global ETF Awards Dinner and Workshop, New York, New York (April 30, 2009) Moderator, Industry Roundtable 9th U.S. World Series of ETFs Southeast, Coral Gables, Florida (March 30 31, 2009) Moderator ETFs: Emerging Issues in a Down Market, New York, New York (March 4, 2009) Speaker Second Annual Inside ETFs Conference, Boca Raton, Florida (January 11 13, 2009) Moderator, The ETF Product Life Cycle How Does It Impact ETF Investing? 13th Annual Super Bowl of Indexing, Phoenix, Arizona (December 7 10, 2008) Speaker, Exemptive Authority: The Mandate of the Division of Investment Management 2008 Annual Meeting, Washington, DC (June 5, 2008) Panelist, Everything You Should Know About Exchange Traded Funds U.S. World Series of Exchange Traded Funds, Albany, New York (April 30, 2008) Presenter SPA's Third Annual Autumn Summit on Structured Products, New York, New York (October 15 17, 2007)