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K&L Gates Deepens Financial Services Regulatory and Enforcement Capabilities with Addition of New York Partner Pair

22 August 2023

New York – Global law firm K&L Gates LLP has added Jennifer Klass as a partner in the Asset Management and Investment Funds (AMIF) practice area and Amy Greer as a partner in the White Collar Defense and Investigations practice. They both join the firm’s New York office from Baker McKenzie LLP, where they were co-chairs of the North American Financial Regulation and Enforcement practice.

John A. Bicks, managing partner of the firm’s New York office, said: “We are delighted that Jen and Amy will be joining the firm in our New York office. Each is an established and respected leader in their area of practice, and their addition to the firm further strengthens our abilities in these important practice areas.”

Klass is an experienced financial services regulatory lawyer with particular focus on investment adviser regulation and the convergence of investment advisory and brokerage services. She regularly represents clients before the US Securities and Exchange Commission (SEC), both in seeking interpretative guidance and in managing examination and enforcement matters. Klass counsels on a wide range of securities regulatory matters, including fiduciary duty and conflicts of interest, disclosure and internal controls, advertising and marketing, and transactions involving regulated entities.

Relying upon prior in-house legal experience supporting the asset management and private wealth businesses of global financial services firms, Klass advises clients that include investment advisers, broker-dealers, dual registrants, sponsors of private investment funds and registered funds, research providers, and technology companies.

In addition, Klass has a particular concentration on digital investment advice and the use of FinTech in the asset management industry. She also focuses on guiding clients through the interpretation and implementation of new rules and the consideration of emerging regulatory issues such as sustainability and digital engagement practices.

“The addition of Jen and Amy to our world class AMIF and White Collar Defense practices enhances the scope and services we deliver to our clients,” stated Michael Caccese, K&L Gates chairman and a leader of the firm’s AMIF practice area. “These two well-known leaders in the industry expand the level of regulatory advice, guidance, insight, and service that our clients expect and deserve.”

Having previously served as chief litigation counsel at the SEC’s Philadelphia regional office, where she managed a team of lawyers overseeing a wide variety of enforcement matters, Greer advises financial industry clients and reporting companies in connection with regulatory enforcement investigations and examinations, as well as internal investigations. Her clients include broker-dealers, investment advisers, hedge funds, mutual funds, securities issuers and reporting companies, commodities traders, and those providing services to those businesses, including accounting and audit firms.

Greer counsels clients on a diverse range of matters including conflicts of interest, disclosure advice, sales practices concerns, insider trading/market abuse, financial and accounting issues, securities offerings, complex or novel products and trading, and whistleblower concerns. She often coordinates her efforts on behalf of clients with ongoing criminal investigations, among multiple enforcement/regulatory activities, and with civil litigation, or with such potential proceedings.

K&L Gates’ AMIF practice has more than 50 years of experience in the financial services industry and comprises more than 150 lawyers throughout Asia, Australia, Europe, the Middle East, and North America. These lawyers provide advice to investment companies and advisers, broker-dealers, emerging managers, and institutional investors across a range of areas, including on investment, hedge, private equity, and real estate funds, regulated funds and exchange-traded products, capital markets and derivatives, ERISA, ESG, and global regulation and distribution, among others.

The firm’s White Collar Defense and Investigations practice handles a variety of high-visibility state and federal investigations, grand jury proceedings, parallel civil and criminal proceedings, and criminal trials on behalf of corporations and individuals. The team has conducted complex internal investigations, represented clients in congressional investigations, provided compliance advice to corporations, and assisted clients in evaluating the results of these investigations and taking appropriate responsive steps.

K&L Gates is a fully integrated global law firm with lawyers located across five continents. The firm represents leading multinational corporations, growth and middle-market companies, capital markets participants and entrepreneurs in every major industry group as well as public sector entities, educational institutions, philanthropic organizations and individuals.

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