Christine Ayako Schleppegrell focuses her practice on investment management, with an emphasis on mutual fund governance and investment adviser counseling. Ms. Schleppegrell has experience serving as fund, adviser and independent trustee counsel for small, mid-sized and large registered fund complexes.
She specializes in advising registered fund complexes on distribution and product development. As part of her investment adviser practice, Ms. Schleppegrell counsels clients on compliance and disclosure obligations, including Form ADV reporting and custody issues.
- Vassar College, B.A., Political Science, 2008
- Oxford University, St. Catherine’s College, 2007
- University of Washington School of Law, J.D., 2011
- District of Columbia
CLERKSHIPS : United States Bankruptcy Court, Eastern District of California, Honorable Christopher M. Klein
- American Bar Association, Business Law Section, Federal Regulation of Securities Committee
- Asian Pacific American Bar Association of D.C., Treasurer
- National Asian Pacific American Bar Association
- Women in Investment Management of D.C.
- Washington D.C. Compliance Round Table, Founding Board Member
- Advised on a tax-free reorganization of several open-end registered investment companies into existing and shell funds.
- Advised broker-dealers and investment advisers on various fiduciary obligations, including those arising under the Advisers Act, the DOL Fiduciary Rule, and state standards.
- Served as liaison between regulators and trade associations to address Advisers Act Custody Rule guidance.
- Obtained interfund lending exemptive relief for several mutual fund complexes and advised on operational issues in connection with program implementation.
Rate : $$$