Kristin Ives advises clients on all aspects of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. She counsels investment companies and their boards of directors/trustees and investment advisers on securities, transactional, compliance and corporate matters under federal and state law relating to pooled investment products, including registered open-end and closed-end investment companies.
Kristin has coordinated large, complex-wide shareholder meetings, proxy solicitations, fund acquisitions, reorganizations and redomestications, changes in control in the management company, and changes in investment strategies. Recently, she has advised clients with respect to the integration of multiple large fund complexes and investment management organizations, including matters relating to the integration of investment management teams and personnel, policies and procedures, and related compliance matters.
She also advises on the use of complex derivative instruments, including compliance and disclosure matters.
Featured Representative Matters
Advised investment companies and their affiliated management companies on various matters arising from the integration of multiple large investment management firms.
Advised investment companies on the structure of securities lending programs and related cash collateral vehicles.
Advised investment companies on structuring and ongoing operations of multi-manager funds employing alternative investment strategies.
Drafted and implemented complex compliance programs and procedures to bring clients into compliance with the U.S. Securities and Exchange Commission (SEC)’s recent regulatory initiatives.
Advised investment companies regarding all aspects of a wide array of derivative instruments under the Investment Company Act of 1940, including managing complex-wide revisions to the disclosure and preparation of related compliance policies and procedures.
Managed complex-wide proxy solicitation projects, including one involving more than 120 mutual funds and four proxy statements in which an entire complex moved its funds to the Delaware statutory trust format, adopted updated charter documents and modernized all of the funds’ investment restrictions.
Advised and assisted money market funds in connection with recent regulatory initiatives and market events
Managed multiple reorganizations of open-end funds into both affiliated and unaffiliated open-end funds
Memberships
Member, Philadelphia Bar Association
Recognitions
Lifetime Achievement Award, The Legal Intelligencer (2026)
Featured Speaking Engagements
Panelist, “Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance,” American Law Institute Continuing Legal Education (ALI CLE)
Panelist, “Mutual Fund Mergers, Reorganizations & Liquidations,” Investment Company Institute
Panelist, Investment Company Directors Conference, Independent Directors Council
