Jenny Walters

Jenny Walters focuses her practice on domestic and international private investment funds and counsels fund managers on securities law and regulatory compliance, securities trading and reporting advice. She represents clients on registration and exemptive filings with the Securities and Exchange Commission (SEC) and other regulators, as well as advising on ongoing compliance matters including marketing practices, annual reviews and compliance manuals and programs. She also counsels on domestic and foreign regulatory requirements, broker-dealer involvement and employee training. A former litigator, Jenny also advises clients on audits, regulatory and internal investigations, and securities arbitrations or class actions. She assists clients in matters related to issues of redemption and liquidity, management and control, and fund dissolution.

7f. IA/IC/PF - Best Practices for an Effective Global Compliance Program (Intermediate)