Overview

Kimberly Karcewski Vargo advises investment companies, independent directors of registered investment companies, and investment advisers on regulatory, compliance, and governance matters, as well as complex transactions.

As counsel for mutual funds, independent directors, and investment advisers, Kimberly:

  • Provides advice and counsel with respect to structuring and registering mutual fund products, including alternative strategy funds, commodity funds, funds that invest in offshore subsidiaries, and funds that utilize a manager of managers structure
  • Handles complex acquisition and reorganization transactions for investment companies and consolidations following mergers of advisers, playing a primary role in one of the largest consolidations in the history of the mutual fund industry
  • Interfaces with Securities and Exchange Commission staff on various registration and other regulatory matters
  • Participates in board and committee meetings, providing advice on fund compliance and regulatory matters and on director fiduciary responsibilities and oversight functions

Before joining Schiff Hardin, Kimberly served as counsel in the investment management practice group of an international law firm.