Emilie Oberlis is an associate in the firm’s New York office where she is a member of the Investment Management, Hedge Funds and Alternative Investments group. Ms. Oberlis focuses on the asset management industry, advising U.S. and non-U.S. registered and private funds, ETFs, investment advisers, broker-dealers and other financial services organizations on regulatory, compliance, governance and enforcement matters.
Ms. Oberlis has extensive experience registering U.S. and non-U.S. investment advisers with the SEC and advising them on ongoing compliance and cross-border matters. Ms. Oberlis regularly assists clients in preparing offering and formation documents for registered and private funds, drafting SEC applications for exemptive relief and SEC Staff response letters, and advising on CFTC registration and compliance matters. Ms. Oberlis also has experience advising on registration, ongoing compliance, and delisting of UCITS funds in various non-U.S. jurisdictions, advising broker-dealers on various regulatory matters, and representing ETFs.
Ms. Oberlis recently spent three months on a secondment with an independent asset management and investment group focused on sub-investment grade debt capital markets in the U.S. and Europe, where she worked closely with both the legal and compliance teams on building internal policies and procedures and assisting with other regulatory matters.
