Overview
Roy Kim is a partner and member of Chapman’s Investment Management Group. His practice spans a wide range of corporate and securities law matters, with particular emphasis on registered investment companies and their boards of directors, registered investment advisers, and broker-dealers. He has extensive experience in the representation of exchange-traded funds (ETFs), closed-end funds (including interval funds) and mutual funds in all aspects of their operation, including transactional, regulatory, governance, and compliance matters.
Roy joined Chapman after graduating law school and has been practicing at the firm his entire career.
Representative Matters
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Counsel on the conversions of five closed-end funds to ETFs through merger/reorganization.
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Counsel to SEC registered exchange-listed closed-end investment companies in connection with initial public offerings and follow-on offerings of common stock and preferred stock.
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Counsel to SEC registered interval closed-end investment company investing in marketplace loans.
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Counsel to mutual funds and exchange-traded funds in connection with their organization, SEC registration, offering materials, and ongoing regulatory and compliance obligations.
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Counsel to US rail holding company in senior notes and debt exchange offerings.
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Counsel to underwriters in connection with common stock offerings of NYSE-traded energy company.
Practice Focus
Admitted
Illinois, 2008
Education
University of Notre Dame Law School, J.D., 2008
Indiana University, Kelley School of Business, B.S., Marketing and Distribution Management, 2004
