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Sonia R. Gioseffi

Fax +1.415.882.8220
Sonia Gioseffi concentrates her practice in the investment management area, and focuses on a variety of regulatory, transactional and counseling matters involving state and federal securities laws. She advises sponsors regarding the organization and regulatory requirements of private equity funds, venture capital funds, hedge funds and other private investment funds. Ms. Gioseffi advises managers and placement agents concerning “pay-to-play” and lobbying regulation and compliance under federal, state and local laws. She also represents public pension plans and other institutional investors in connection with their investments in private investment funds.

Professional Background

Prior to joining K&L Gates, Ms. Gioseffi practiced in the investment management area with other international law firms in San Francisco and Washington, D.C.

Professional/Civic Activities

  • Board Member, International Justice Resources Center
  • Board Member, Seattle Alternative Investment Association

Speaking Engagements

  • “Emerging Manager Event: Key Launch Considerations for New Private Equity, Real Estate and Venture Capital Managers,” (November 12, 2018)
  • “Key Launch Considerations for New Private Equity, Real Estate and Venture Managers,” K&L Gates Annual Emerging Managers Forum (May 10, 2018)
  • “SEC Examinations and Enforcement,” 2017 Investment Management Conference San Francisco (November 14, 2017)
  • Lecturer, “Introduction to U.S. Securities Laws,” Southern African Institute for Public Policy and Research (Zambia, August 2017)
  • “Trends in Private Fund Terms,” 2016 Investment Management Conference San Francisco (December 1, 2016)
  • “SEC and FINRA Social Media Compliance Guide: Using Social Media and Regulatory Concerns,” Lorman Webinar (May 25, 2016)
  • “How Social Media Has Impacted Broker-Dealers and Investment Advisers,” K&L Gates Webinar (October 7, 2015)
  • “Advanced Topics in Hedge Fund and Private Fund Regulation,” K&L Gates Investment Management Conference (November 12, 2014)
  • “Overview of Private Funds and Investment Advisers,” California Association of Public Retirement Systems (January 24, 2014)
  • “Regulation D Bad Actor Rules and Compliance Challenges,” K&L Gates Investment Management Conference (November 5, 2013)
  • “Social Media: Reaching the Next Generation,” K&L Gates Investment Management Conference (November 28, 2012)

Additional Information

  • “Current Regulatory and Enforcement Trends Impacting Private Equity Fund Managers,” LexisNexis (February 1, 2017)
  • “Investment Company Act and Investment Advisers Act Considerations for Venture Capital Funds,” Venture Capital & Public Offering Negotiation (two volume treatise), contributing author (2010, 2011, 2012, 2013 and 2014)
  • “Social Media at the Intersection of the Personal and Professional: Challenges for Investment Advisers and Broker-Dealers, Insights: The Corporate & Securities Law Advisor” (September 2013)
  • “Corporate Accountability: Achieving Internal Self-Governance through Sustainability Reports,” Cornell Journal of Law and Public Policy