Colleen advises U.S. and global asset managers on a range of matters, including regulatory and compliance matters. For more than 15 years, she has advised clients across the asset management spectrum, from private equity and venture capital firms to hedge funds and other leading asset management companies.
Colleen helps clients navigate a wide range of regulatory and compliance issues, including investment adviser status, SEC exams, and other matters arising under the Investment Advisers Act. With years of experience guiding investment firms on sensitive and complicated issues, she is known for giving thoughtful, creative, and proactive advice. Clients appreciate Colleen’s commercial perspective, informed by an understanding of both the compliance landscape and a client’s overarching business strategy.
Based in San Francisco, Colleen guides clients on regulatory aspects of innovative industry developments, including digital assets and the use of artificial intelligence. In addition to providing regulatory advice, she advises asset managers on the structuring and formation of registered funds and other pooled investment vehicles, and provides ongoing advice to such investment vehicles.
Experience
- Represented State Street Investment Management on its strategic minority investment in Coller Capital, one of the world’s largest dedicated private market secondaries managers.
- Represents investment advisers on a wide range of corporate, regulatory and compliance matters, focusing on the Investment Advisers Act.
- Assists advisers in registering with the Securities and Exchange Commission.
- Assists advisers in the development and maintenance of compliance programs.
- Counsels registered investment advisers in connection with Securities and Exchange Commission examinations.