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Kathy Kresch Ingber

Fax +1.202.778.9100

Ms. Ingber is a partner in the Investment Management group of K&L Gates and is based in the Washington D.C. office. She has twenty years of experience in representing investment companies, investment company Boards of Trustees/Directors, investment advisers and broker-dealers on a broad range of transactional, regulatory and compliance matters. Her experience includes:

  • Organizing and registering investment companies using various types of structures, including fund of funds, multi-manager and multiple class arrangements;
  • Creating funds that pursue alternative investment strategies, including managed futures funds;
  • Representing open and closed-end funds before the SEC on exemptive applications, registration statements and other regulatory filings;
  • Advising the independent Trustees/Directors of investment companies on corporate governance and regulatory matters;
  • Advising closed-end funds regarding rights offerings, tender offers and compliance with NYSE requirements;
  • Negotiating the resolution of and responding to SEC staff comments on registration statements and exemptive applications;
  • Advising investment companies, investment advisers and broker-dealers on SEC, CFTC and FINRA regulatory requirements;
  • Reviewing and negotiating service provider agreements;
  • Advising investment companies and/or their Boards in connection with fund mergers, acquisitions and adoptions and advisory firm changes of control;
  • Developing and implementing compliance programs for investment companies and investment advisers; and
  • Advising investment companies, investment advisers and broker-dealers regarding the conduct of and responses to SEC and FINRA inspections and examinations.

Ms. Ingber serves on K&L Gates’ Professional Development Committee. She frequently writes and speaks on regulatory developments affecting the investment management industry.

Professional Background

Prior to entering private legal practice in 1987, Ms. Ingber worked in the Regulations and Legislation Division of the Office of the General Counsel of the Federal Home Loan Bank Board (currently the Office of Thrift Supervision).

Professional/Civic Activities

  • American Bar Association, Section of Business Law, Subcommittee on Investment Companies and Investment Advisers \
  • District of Columbia Bar, Corporation, Finance and Securities Law Section

Speaking Engagements

Ms. Ingber frequently speaks on investment company and investment adviser matters. 
  • “Seasonal Review - Gifts & Entertainment Compliance Policies - ‘Wrap’ Your G&E Policies with Compliance this Season,” Wolters Kluwer Webinar, November 2014
  • “New XBRL Requirements for Mutual Funds,” K&L Gates Professional Development Seminar, December 2010
  • "Gifts and Entertainment – The Fidelity Cases," Nationwide Insurance Company, July 2008
  • "Anti-Money Laundering Know How," Washington Metropolitan Area Corporate Counsel Association, February 2002
  • "Investment Advisers," Securities Practice and Electronic Technology, Law Journal Seminars - Press, August 1998
  • "Overview of the New Regulatory Regime," The Investment Adviser & Broker-Dealer Compliance Forum, November 1997
  • "Exemptions Under the New Investment Adviser Rules," Investment Adviser Compliance Forum, July 1997

Additional Information

  • “Whistleblower Procedures: An Incentive for Internal Reporting,” K&L Gates Investment Management Update, Spring 2011
  • “Gifts and Business Entertainment: A Regulatory Overview for Broker-Dealers and Investment Advisers,” Practical Compliance & Risk Management for the Securities Industry, May-June 2008
  • “A Fund Director’s Guide to Derivatives,” The Investment Lawyer, February 2008
  • "Variable Annuity Sales Activities - Current Regulatory Initiatives," NSCP Currents, January/February 2008
  • "Investment Management Newsletter," K&L Gates publication, Winter 2007
  • "Investment Management Update," K&L Gates publication, Summer 2007
  • “New Scrutiny for Fund Substitutions,” NAVA Outlook, May/June 2001
  • “Investment Advisers,” Securities Practice and Electronic Technology, Law Journal Seminars - Press, August 1998
  • “SEC Refocuses Regulation of Variable Insurance Products and Equity Index Annuities,” The Investment Lawyer, January 1998
  • “Variable Annuity Sales Activities - Current Regulatory Initiatives,” NSCP Currents, January/February 1998
  • “Developments Affecting Fund of Funds Structures, Variable Insurance Contract Pricing, and Fund Names,” Insights: The Corporate & Securities Law Advisor, May 1997