Overview
Kate Poorbaugh is a partner in Chapman’s Corporate and Securities Department and Investment Management Group. She focuses her practice on the formation and ongoing representation of investment companies, including open-end funds, exchange-traded funds and unit investment trusts. Her experience also includes matters involving the representation of broker-dealers, investment advisers and general corporate compliance matters. Kate participated in the firm’s summer associate program in 2014 and joined the firm in 2015.
Practice Focus
Admitted
Illinois, 2015
Education
University of Illinois College of Law, J.D., magna cum laude, 2015
- Development Editor, University of Illinois Law Review
University of Illinois at Urbana-Champaign, B.S., Accountancy, Highest Honors, 2012
Insights
Publications
- Co-Author, "MSRB Publishes Its 2017 Compliance Advisory for Broker-Dealers," Journal of Investment Compliance, Vol. 19, No. 1, 2018, pp. 50–52, doi: 10.1108/JOIC-02-2018-0.
- Co-Author, "FINRA Releases Guidance on Social Media and Digital Communications," Journal of Investment Compliance, Vol. 18, No. 3, 2017, doi: 10.1108/JOIC-06-2017-0030.
- Co-Author, "The SEC Provides New Custody Rule Guidance to Investment Advisers," Journal of Investment Compliance, Vol. 18, No. 2, 2017, pp. 9–12, doi: 10.1108/JOIC-04-2017-0021.
- Co-Author, "MSRB Publishes Its First Compliance Advisory for Broker-Dealers," Journal of Investment Compliance, Vol. 17, No. 3, 2016, pp. 49-51, doi: 10.1108/JOIC-07-2016-0026.
- “Security Protocol: A Procedural Analysis of the Foreign Intelligence Surveillance Courts,” 2015 U. Ill. L. Rev. 1363.
- Co-Author, “What’s the Matter with Retirement Savers?,” 47 Conn. L. Rev. 1281 (2015).
