|5458||Are You Interested?: Positions and Transactions Bearing on Director Independence||30||Jun||2:00PM||3:00PM||June||Tuesday||19||2018||
Keri Riemer, Counsel with Seward & Kissel LLP, will cover the statutory requirements (e.g., Section 10) and definitions (e.g., “interested person”) relating to Board composition and relationships that would prevent a director from being “not interested”, as well as staff guidance in releases, no action letters, etc. that provides insight into what the SEC would view as a material business or professional relationship pursuant to Section 2(a)(19).
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Keri E. Riemer
Seward & Kissel LLP
Keri E. Riemer is Counsel in Seward & Kissel's Investment Management group. Her practice focuses on a broad range of legal requirements applicable to registered investment companies, including mutual funds and closed-end funds, and registered investment advisers. She regularly advises clients on statutory and regulatory matters relating to registered funds, including fund formation and registration with the Securities and Exchange Commission under the Investment Company Act of 1940, reorganizations, operations, compliance programs and restructurings. She also has extensive experience working with registered funds on their service provider agreements, distribution and custody arrangements and routine regulatory reporting and compliance requirements. Keri counsels investment advisers on matters relating to their registration with the Securities and Exchange Commission, and their compliance with requirements under the Investment Advisers Act of 1940. She also advises registered funds and investment advisers on matters relating to examinations by regulatory authorities.
Keri has drafted or contributed to articles and CLE courses relating to cybersecurity, disclosure obligations, intermediary arrangements, reporting obligations of investment advisers and fund director oversight responsibilities. She is involved in several professional and philanthropic organizations, and is a member of the New York City Bar Association's Committee on Investment Management Regulation.
Keri received a B.A. from Bowdoin College, magna cum laude, and a J.D. from Boston College Law School.
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