Overview

Kate McCurry focuses her practice on investment management, with an emphasis on advising registered investment companies and their boards, investment advisers, and private funds with respect to formation, registration, regulatory compliance, and governance matters.

Kate advises registered investment companies, including open-end mutual funds, ETFs, closed-end funds (including interval funds) and their respective boards of trustees with respect to organizational matters including trust and fund formation, SEC registration and fund mergers/reorganizations; corporate governance matters including representation of independent trustees; disclosure documents including drafting and reviewing prospectuses, SAIs and marketing materials; compliance requirements including Rule 38a-1 reporting and service provider oversight; SEC filings including proxy statements and annual and semi-annual reports; and other operational and management issues.

She also assists both state and SEC registered investment advisers with registered and private investment company formation, including domestic, offshore and master-feeder hedge funds, private equity and real estate funds, and has represented registered investment advisers in acquisitions and reorganizations.

Kate also regularly assists institutional investors with evaluating and negotiating terms of investment in a broad range of investment opportunities. Among other things, Kate’s experience includes advising clients with regards to: (1) investments in private investment funds, including evaluating the terms of investment and providing advice regarding the same, and drafting and negotiating side letters, subscription agreements, and related agreements that complement the core terms of the investment; and (2) preparing and negotiating the terms of engagement for separate account mandates and OCIO engagements.

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Education

Wake Forest University School of Law J.D. (2011) magna cum laude, Order of the Coif

University of Virginia B.A. History, with distinction

Admissions

North Carolina (2011)

Court Admissions

U.S. District Court - Middle District of North Carolina (2011)

Professional & Community Activities

21st Judicial District Bar Association, Member

Forsyth County Bar Association, Member

Bookmarks, Board of Directors, Member

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