Karen A. Aspinall

Karen A. Aspinall

Partner, Practice Area Chair – Financial Services
Los Angeles, CA
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RELEVANT EXPERIENCE

Karen began her career spending seven years as both an Associate at Dechert LLP in Washington, D.C. and Morgan, Lewis and Bockius, LLP in Washington, D.C. At both firms, Karen served funds and advisers with a wide range of issues, including all aspects of fund filings, board support, contracts, regulatory interpretation, compliance programs and SEC exams. Karen was also a Senior Vice President and Associate General Counsel at Nuveen Investments in Los Angeles, where she supported three distinct institutional investment managers with their institutional businesses.

Most recently, Karen served as Executive Vice President and Deputy General Counsel for Pacific Investment Management Company LLC (PIMCO) where she led a team of U.S. regulatory attorneys and oversaw all SEC, DOL and NFA exams, investigations and enforcement matters.

Karen’s areas of expertise include:
Investment Management, Investment Companies, Investment Advisers, Regulatory Counsel, SEC examination, liquidity, liquidity risk management, CCO, Compliance Programs, investment advisers, Advisers Act, 1940 Act, ERISA, mock exam, investigations, internal review, whistleblower, derivatives rule, advertising rule, fund counsel, adviser counsel, independent trustee counsel, and Internal Investigations


REPRESENTATIVE MATTERS

Investment adviser/fund regulatory counsel – primarily responsible for investment adviser regulatory matters for a large firm, which included regulatory implementation of new regulatory requirements (such as the liquidity risk management rule and Form CRS).

Regulator Interactions – managed numerous matters before various regulators, including the SEC, DOL and NFA, including routine exams, investigations, and matters under inquiry with successful outcomes.

Contract negotiation – negotiated hundreds of contracts from investment management agreements to vendor agreements.

TALKS/SEMINARS

Feb. 2021
“Webinar, The SEC’s New Derivatives Rule Will Impact Your Funds Whether or Not Your Investment Strategy Employs Derivatives, Panelist.
March 2021
Investment Advisers Association Annual Compliance Conference, Breakout Session – Risk Management for Large Advisers, Moderator

 

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At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

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