Helen Kim

Helen Y. Kim Partner Chicago312.845.3456 Email vCard Print PDF Admitted: Illinois, 2007 Education: University of Illinois College of Law, J. D., 2007 University of Chicago, B. A., Psychology, 2003 Overview Overview Helen Kim is a partner in the Corporate and Securities Department and has been with Chapman and Cutler LLP since 2007. Helen concentrates her practice in securities law matters with an emphasis on registered investment companies, including open-end funds and unit investment trusts. Her experience also includes matters involving the representation of broker-dealers and investment advisers. Selected Matters Representation of open-end funds in matters regarding their organization, federal registration, preparation of offering materials, regulatory analysis and compliance obligations. Representation of numerous unit investment trusts and their sponsors in matters regarding their organization, federal and state registration, applications for exemptions from provisions of applicable federal securities laws, preparation of offering materials, primary and secondary market offerings, advertising and continuing compliance obligations. Representation of broker-dealers in matters regarding their organization, registration requirements, preparation of compliance manuals and supervisory procedures and continuing compliance obligations. Representation of investment advisers in matters regarding their organization, federal and state registration requirements, preparation of compliance manuals and supervisory procedures, advertising restrictions, contract provisions and continuing compliance obligations. Practice Focus Broker-Dealers Corporate Finance and Securities Investment Advisers Investment Management Registered Investment Companies Admitted Illinois, 2007 Education University of Illinois College of Law, J. D., 2007 University of Chicago, B. A., Psychology, 2003