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Lori L. Schneider

Partner
+1.202.778.9305
Fax +1.202.778.9100

Ms. Schneider is a partner in the Investment Management group of K&L Gates and is based in the Washington, D.C. office. She has over twenty years of experience in representing investment advisers and investment companies on transactional, regulatory and compliance matters. She also advises the independent directors of investment companies on corporate governance and regulatory matters. She has substantial experience advising clients on issues relating to social media and cybersecurity. She also assists clients in developing and structuring registered products using alternative investment strategies and “manager-of-managers” structures.

Ms. Schneider serves as Chair of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association’s Business Law Section. She served as Co-Chair of the ABA Task Force that authored the Fund Director’s Guidebook, Fourth Edition (2015).

Ms. Schneider is a member of the Advisory Board of the Mutual Fund Directors Forum.

She has been nominated as “Independent Counsel of the Year” by Fund Directions for the 23rd Annual Mutual Fund Industry Awards, 2016.

Her experience includes:

  • Advising independent directors in their review of advisory contracts and their fiduciary and regulatory responsibilities;
  • Developing governance programs for fund boards, including reviews of board committee structures, committee charters and industry practices;
  • Developing and reviewing compliance programs for investment advisers, investment companies and their various service providers;
  • Responding to regulatory issues raised by the SEC staff during inspections and examinations;
  • Structuring and conducting due diligence for mergers and acquisitions of investment companies and investment advisory firms;
  • Negotiating contracts with major service providers to investment companies;
  • Organizing and registering investment companies using various fund structures, such as master-feeder and multiple class;
  • Preparing and filing SEC exemptive applications and no-action letters;
  • Drafting and reviewing the social media policies of investment advisers and broker-dealers; and
  • Advising financial services firms on the federal securities regulations applicable to social media use.

Professional Background

Ms. Schneider's professional background includes:

  • Federated Investors, Law Department, 1994 - 1995

Professional/Civic Activities

  • Chair of the Subcommittee on Investment Companies and Investment Advisers of the Committee on Federal Regulation of Securities of the American Bar Association’s Business Law Section
  • Advisory Board, Mutual Fund Directors Forum
  • DC Bar (Corporation, Finance and Securities law section)
  • Women’s Bar Association

    Speaking Engagements

    • “Current Issues in Investment Management: Discussion with the Division Director,” ABA Business Law Section meeting, Washington, D.C., November 18, 2016
    • “Looking at Both Sides of the Border: A Comparison of Board Governance Practices and Regulation of Mutual Fund Companies in the United States and Canada,” ABA Business Law Section meeting, Montréal, Canada, April 8, 2016 
    • “Board Oversight of Intermediary Fees - The SEC’s Recent Guidance,” Mutual Fund Directors Forum 2016 Policy Conference, Washington, D.C., March 29, 2016
    • "Current Issues in Investment Management: Discussion with the Division Director," ABA Business Law Section meeting, Washington, D.C., November 20, 2015
    • “How Social Media Has Impacted Broker-Dealers and Investment Advisers,” K&L Gates Webinar, October 7, 2015
    • “Issuers, Broker-Dealers, Investment Advisers and Funds (and Regulators) Embrace Social Media: "Like" It or Not (or, To Tweet or Not to Tweet: That Is the Question),” ABA Business Law Section Meeting, Washington, D.C., November 21, 2014
    • "Joining the Conversation: The Perils and Possibilities of Social Media for Financial Services Companies," K&L Gates Webinar, April 5, 2012