Carolyn Garcia is an associate and member of the Asset Management and Investment Funds practice. She advises registered funds, business development companies, asset managers, and fund sponsors on regulatory matters involving the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Act of 1933, Exchange Act of 1934, and related US Securities and Exchange Commission (SEC) requirements. Her experience includes supporting periodic reports and related public-company disclosures, fund governance and compliance matters, offering materials, private credit and co-investment transactions, supervisory controls, cybersecurity, recordkeeping, and regulatory examinations and enforcement inquiries.
This is a temporary biography. A complete biography will be available soon.
