Kathleen (Kate) Nichols
Kate initially joined Ropes & Gray as an associate in 2005 and returned to the firm in 2015 as a senior attorney in the investment management practice group. Kate’s practice focuses on representing investment advisers and registered investment companies in their regulatory, transactional, and compliance matters. She has experience with the establishment, registration, operation, and reorganization of registered funds and compliance of investment advisers and investment companies.
Kate left Ropes & Gray in 2008 to serve as vice president and counsel to a mutual fund complex in Scottsdale, Arizona, and later Atlanta, Georgia, where she routinely provided regulatory advice on a wide range of matters, including registered fund issues, fund disclosure, exemptive applications, credit agreements, compliance, and board matters. Before returning to Ropes & Gray, from 2012 to 2015, Kate resided in Johannesburg, South Africa and provided consulting services to clients on a remote basis.
- Managed the fund contracts and organizational charter documents function of a mutual fund complex with over 175 open- and closed-end funds; participated in and oversaw the drafting, negotiation, and recordkeeping of contracts including: advisory agreements; administration agreements; distribution agreements; financial intermediary agreements; participation agreements; non-disclosure agreements; and general corporate contracts.*
- Provided legal support to multiple boards of directors/trustees: presented items to and lead discussions with board members; drafted, reviewed and/or coordinated completion of board memoranda and other supporting documents; developed agendas for board and committee meetings; and drafted and reviewed board and committee minutes.*
- Drafted and advised on SEC filings for registered funds and investment advisers, including registration statements, proxy statement/prospectuses, proxy statements, and shareholder reports.
- Advised with respect to compliance programs and related matters under Rules 38a-1 and 206(4)-7 and under various no-action letters and exemptive relief.*
- Negotiated multiple line of credit facilities for open- and closed-end funds to temporarily finance the purchase or sale of securities, finance shareholder liquidity for redemptions, and investment leverage.*
Please note that the following matters were completed prior to joining Ropes & Gray.*