BETH KRAMER

Partner, Chadbourne & Parke LLP

Beth Kramer focuses her practice on investment management and securities law. She regularly advises investment advisers on the formation and ongoing management of funds and on the regulatory and compliance aspects of their businesses. She counsels investment companies, private funds and separately managed accounts on structuring, organization, distribution, and SEC regulatory and compliance issues, including responses to SEC examinations.

Ms. Kramer’s practice includes the creation of new advisory businesses, including registration and formation with appropriate regulatory authorities, creation of disclosure documents for private funds, drafting of investment management products, evaluating fund documents for institutional investors and family offices seeking alternative investments, development of compliance policies and procedures, performing compliance reviews, representations of advisers in connection with SEC examinations, counseling clients on compliance with the Dodd-Frank Act, and adviser acquisitions. She advises clients with respect to compliance with, and exemptions from the Investment Advisers Act of 1940, as amended and the Investment Company Act of 1940, as amended.

HONORS
Ms. Kramer was recognized by The Legal 500 US in 2014 – 2017 for her work in fund formation and investment management.

ACTIVITIES AND AFFILIATIONS
Ms. Kramer serves on the New York City Bar Association’s Investment Management Regulation Committee. She is also a member of the American Bar Association (Section of Business Law) and 100 Women in Hedge Funds.

PUBLICATIONS
Ms. Kramer is co-editor of the Fund Formation and Investment Management NewsWire.
• “SEC Adopts Significant Amendments to Form ADV,” Fund Formation and Investment Management NewsWire, Winter 2016
• “2017 Compliance Overview,” Fund Formation and Investment Management NewsWire, Winter 2016
• “SEC Continues to Focus on Private Equity Enforcement,” Fund Formation and Investment Management NewsWire, Summer 2016
• “New US Partnership Tax Audit Rules,” Fund Formation and Investment Management NewsWire, Summer 2016
• “2016 Compliance Overview,” Fund Formation and Investment Management NewsWire, Winter 2015
• “Investment Adviser Cybersecurity: Principles and Effective Practices,” Fund Formation and Investment Management NewsWire, Winter 2015
• “Compliance Corner,” Fund Formation and Investment Management NewsWire, Winter 2015
• “Reminder: The SEC Expected to Act on Proposed Amendments to Form ADV in 2016,” Fund Formation and Investment Management NewsWire, Winter 2015
• “Investment Adviser Cybersecurity: Principles and Effective Practices,” September 15, 2015
• “The Volcker Rule’s Impact on Capital Markets Transactions,” Capital Markets NewsWire, Summer 2015
• “Compliance Corner,” Fund Formation and Investment Management NewsWire, Spring 2015
• “Marketing Funds in the European Economic Area: A Patchwork of Regulation for Non-European Managers,” Fund Formation and Investment Management NewsWire, Spring 2015
• “Section 3(c)(7) Procedures: SolarCity Securitizations,” Capital Markets NewsWire, Winter 2014
• “Family Offices Under the Advisers Act: Key Concepts and Requirements,” Private Funds Practice NewsWire, Fall 2014
• “Investment Adviser Cybersecurity: Understanding What is at Stake and How to Prevent Cyber Attacks,” Private Funds Practice NewsWire, Fall 2014
• “Compliance Corner,” Private Funds Practice NewsWire, Fall 2014
• “How Commodity Regulations Impact PE Fund Managers,” Law360, June 23, 2014
• “Compliance Corner,” Private Funds Practice NewsWire, Spring 2014
• “2014 SEC Compliance Outreach Program: Key Takeaways for Private Fund Advisers’ Chief Compliance Officers,” Private Funds Practice NewsWire, Winter 2014
• “SEC Releases 2014 Exam Priorities,” Private Funds Practice NewsWire, Winter 2014
• “Demystifying How the New Rule 506 “Bad Actor” Disqualification Impacts Private Funds,” Private Funds Practice NewsWire, Winter 2014
• “SEC Issues Risk Alert on Custody Rule, Reinforcing Its Message to Registered Investment Advisors in Its Examination Priorities for 2013,” JD Supra Law News, March 18, 2013
• “Roundtable on the Role of Independent Investment Company Directors: Issues for Independent Directors of Bank-Related Funds, Variable Insurance Product Funds, and Closed-End Funds,” The Business Lawyer, November 1999
• “Investment Companies,” Securities Practice and Electronic Technology, August 1998
• “Investment Fund Structures for Emerging Markets,” The Review of Securities & Commodities Regulation, September 27, 1995

SPEECHES AND EVENTS
• “Upgrading Your Compliance Framework,” Regulatory Compliance Association, Fairmont Southampton, Bermuda, April 26-28, 2017
• “Private Equity Structuring: The Basics,” panelist, Crossroads Between Compliance, Best Practices and Ethics, NYC Bar Panel, New York, NY, February 10, 2017
• AIMA Private Fund Manager Training: Focus on SEC Priorities, Regulatory Trends and Compliance Practices for Private Funds, New York, NY, February 8, 2017
• “RCA Cybersecurity Summit,” panelist, Regulatory Compliance Association, New York, NY, September 14, 2016
• “Enforcement, Compliance & Operations – New York 2016™: Conflicts of Interest: Updating Procedures, Practices and Documents to Address New SEC and DOL Fiduciary Initiative,” panelist, Regulatory Compliance Association, New York, NY, May 17, 2016
• “Regulation, Operations and Compliance (ROC) – Bermuda 2016™: Annual Compliance Reviews: Upgrading Your Process for Maximum Effectiveness,” panelist, Regulatory Compliance Association, Fairmont Southampton, Bermuda, April 17-19, 2016
• “Women in Compliance Breakfast,” panelist, DMS Offshore Investment Services, New York, NY, March 29, 2016
• “Focus on SEC Regulatory Compliance and Enforcement Priorities for Private Funds,” panelist, Regulatory Compliance Association, New York, NY, February 23, 2016
• AIMA Hedge Fund Manager Training: Private Fund Focus on SEC Priorities, Regulatory Trends and Compliance Practices, New York, NY, February 10, 2016
• “Women in Asset Management & Regulation Summit: Compliance, Risk & Enforcement,” panelist, Regulatory Compliance Association, New York, NY, November 3, 2015
• “Private Equity Structuring: The Basics; Private Equity Fund Compliance,” City Bar Center for CLE, New York, NY, September 18, 2015
• “Hedge Fund Management 2015,” Practicing Law Institute (PLI), New York, NY, September 15, 2015
• “RCA Cybersecurity Summit,” New York, NY, September 8, 2015
• “Panel Presentation: Legal and Business Trends and Compliance for Family Offices and Private Funds,” New York, NY, February 25, 2015
• AIMA Hedge Fund Manager Training: Focus on SEC Priorities, Regulatory Trends and Compliance Practices for Private Funds, New York, NY, February 11, 2015
• “2015 ISS Updates and Proxy Season Insights for Companies and Investment Managers,” New York, NY, November 20, 2014
• “AIFMD – Emerging Issues & Latest Developments,” panelist, RCA Compliance, Risk & Enforcement (CRE), New York, NY, November 4, 2014
• “Private Fund Compliance in 2014: Issues, Trends and SEC Guidance,” panelist, Regulatory Compliance Association, New York, NY, October 1, 2014
• “It’s Not Magic – Learn the Tricks to Creating, Maintaining, and Growing Your Book of Business,” panelist, 2014 NAWL Annual Meeting & Awards Luncheon, New York, NY, July 24, 2014
• “Broken Windows: SEC Enforcement and Examination Initiatives, 2014 and Beyond,” panelist, 100 Women in Hedge Funds, New York, NY, April 8, 2014
• “Growing Your Hedge Fund AUM from $100MM to $1 Billion,” Hedge Funds Association Symposium, New York, NY, March 3, 2014
• AIMA Hedge Fund Manager Training: Private Fund Focus on SEC Priorities, Regulatory Trends and Compliance Practices, New York, NY, February 12, 2014
• “SEC Registration—What Happens After Registration?,” 5th Annual Hedge Fund Operations & Technology Conference, New York, NY, April 18, 2012

EDUCATION
State University of New York, Stony Brook University, B.A., summa cum laude, Phi Beta Kappa
American University, Washington College of Law, J.D., cum laude