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Areas of Practice
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Professional Background
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Professional/Civic Activities
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Speaking Engagements
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Court Admissions
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Bar Admissions
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Education
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Achievements
Areas of Practice
Ms. Radford is a partner in the investment management practice group where she focuses her practice on investment management and securities law. She counsels investment companies, hedge funds and private equity funds on fund formation, structuring, legal, SEC regulatory and compliance issues, including mergers, acquisitions, reorganizations and proxy statements. Ms. Radford advises investment advisers on the regulatory and compliance aspects of their businesses, including marketing and advertising compliance, separately managed account programs and compliance with the Global Investment Performance Standards ("GIPS"), and regularly advises clients on their policies and procedures, compliance programs and responses to SEC examinations and investigations. Ms. Radford also advises clients dealing in futures contracts and options on futures contracts on applicable provisions of CFTC and NFA regulations.
Professional Background
Prior to joining K&L Gates, Ms. Radford was an associate in the financial services group of an international law firm where her practice focused on advising mutual funds, closed-end funds, hedge funds and investment advisers on formation, regulation and compliance, and was in the corporate group of a Boston law firm where she advised financial services clients and general corporate clients on formation, private offerings and securities regulation. Ms. Radford was also seconded to Deutsche Bank Scudder’s general counsel’s office, where she advised the Scudder and Deutsche Bank mutual funds and investment advisers on registration and compliance issues.
Professional/Civic Activities
Speaking Engagements
Ms. Radford speaks frequently on regulatory and compliance issues. Ms. Radford’s presentations include:
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National Society of Compliance Professionals - NSCP 2010 Southern Regional Member Meeting, Compliance and Risk Management, Atlanta, GA, February 22, 2010
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Financial Research Associates, LLC, Investment Advisor Compliance & Hedge Fund Regulation and Compliance, Legislative Update: What Advisors Will Face in the Coming Years, New York, NY, February 1, 2010
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National Regulatory Services, Center for Compliance Professionals, Understanding Disclosure, GIPS and Regulatory Issues Surrounding Performance and Advertising, Chicago, IL, July 21, 2009
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National Regulatory Services, Center for Compliance Professionals, Mastering the IA Act Sections 206-222, Chicago, IL, May 13, 2009
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National Regulatory Services, Center for Compliance Professionals, Understanding Disclosure, GIPS and Regulatory Issues Surrounding Performance and Advertising, Chicago, IL, September 23, 2008
- Financial Research Associates 5th Annual Marketing & Advertising Compliance Forum for Investment Advisers, Global Distribution of Materials: A Guide to the Regulations, New York, NY, September 15-16, 2008
- National Regulatory Services, Center for Compliance Professionals, Understanding Disclosure, New York, NY, June 24, 2008
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Financial Market World's Fourth Annual Conference, SMAs, UMAs and Beyond: Understanding the Latest Developments in the Managed Accounts Industry, Boston, Massachusetts, April 22, 2008
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4th Annual Marketing & Advertising Compliance Forum for Investment Advisers, Marketing and Advertising: SMA Accounts and GIPS Advertising Guidelines, New York, NY, March 27-28, 2008
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National Regulatory Services, Center for Compliance Professionals, Understanding Disclosure: GIPS and Regulatory Issues Surrounding Performance and Advertising , Miami, FL, February 5, 2008
- Financial Market World's Third Annual Managed Accounts Conference, SMAs, UMAs and Beyond: Understanding the Latest Developments in the Managed Accounts Industry, New York, NY, January 22, 2008
- Charles River, U.S. Compliance Trends & Regulatory Challenges, November 6, 2007
- Financial Research Associates, LLC, Separately Managed Accounts and Investment Adviser Advertising – Reporting Performance in a Complex Regulatory Environment, September 26, 2007
- Center for Compliance Professionals (CCP), Presenting Performance and Advertising SEC and GIPS, Chicago, IL, September 18, 2007
- Third Annual Managed Accounts Compliance Forum, Best Practices: Presenting Investment Performance in an Increasingly Complex Regulatory Environment, New York, NY, July 16 & 17, 2007
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Second Annual Marketing & Advertising Compliance Forum for Investment Advisers, Wrap Accounts and Mutual Funds, New York, NY, March 29 & 30, 2007
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National Regulatory Services, Center for Compliance Professionals, Mastering the Investment Advisers Act of 1940: Sections 201-205 , Miami, FL, February 13, 2007
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Thomson Financial Buyside Conference 2006, Hot Topics in SMA World , Boston, MA, September 21, 2006
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Financial Research Associates, LLC, Marketing and Advertising Compliance Forum for Investment Advisers, Wrap Accounts and Mutual Funds , New York, NY, September 14, 2006
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K&LNG Breakfast Briefing, Understanding Separately Managed Accounts, Boston, MA, July 20, 2006
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FMW Worldwide, Separately Managed Accounts , New York, NY, May 2, 2006
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Investment Adviser Annual Seminar, Compliance Review of Investment Advisers , New York, NY, December 5, 2005
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Financial Research Associates, LLC, E-mail and Instant Messaging Compliance in the Financial Services Industry, “Achieving Compliance in E-mail Archiving and Correspondence Review”, June 14, 2005
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Glasser Continuing Legal Education Seminar, Mutual Fund Hot Topics: Regulation by Disclosure , Boston, MA, June 7, 2005
Court Admissions
Bar Admissions
Education
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J.D.,
Boston College Law School
(2000)
(magna cum laude; Order of the Coif)
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B.A.,
University of Illinois
(1993)
Achievements
License en Droit, L’Université D’Aix-Marseille III, 1997
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