About Margarette Shim:

Margarette Shim possesses extensive legal experience, relating to investment management regulatory and compliance issues. Margarette Shim was Regulatory-Compliance Counsel for D.E. Shaw & Co, L.P. in New York City. As part of the firm’s Legal & Compliance Group, she reviewed and analyzed legal, compliance, regulatory issues for the SEC-registered hedge fund investment adviser with approximately $36 billion in assets under management.

Margarette Shim’s focus included the development of new institutional asset management business and structured equity investment products, including separately managed accounts and commingled investment vehicles; reviewing the firm’s marketing materials, RFPs, performance materials, consultant databases; working extensively with D.E. Shaw’s Investor Relations and Financial Operations groups to help develop new equity investment products; monitoring and maintaining the firm’s compliance with various securities laws, including Investment Advisers Act, ERISA and the CFA Institute’s GIPS. Margarette Shim was Associate General Counsel at Basso Capital Management, L.P. in Stamford, Connecticut.

At Basso Capital Management, L.P., Margarette assisted general counsel in legal and regulatory issues of SEC-registered multi-strategy hedge fund investment adviser with approximately $1 billion in institutional and high net worth private client assets. She also helped to implement the firm’s new compliance program to comply with the Investment Advisers Act and ERISA. Margarette Shim was a Vice President and Associate General Counsel in the legal division of GE Asset Management, Inc., the SEC-registered investment adviser to General Electric Company. She helped to resolve Investment Company Act, Investment Advisers Act and business issues for GE Asset Management, Inc.

In her capacity as Associate General Counsel, Margarette Shim was part of a team that assisted in management of over $180 billion in retail, institutional, separate accounts, pension, 401k and insurance assets. Earlier in her career, Margarette Shim worked as legal counsel to J. & W. Seligman & Co., helping to organize funds and maintain disclosure requirements for the firm’s registered funds. She drafted board materials and memoranda for directors’ meetings, board minutes, fund registration statements, annual reports, shareholder proxies, memoranda for general counsel.

Margarette Shim began her legal career at Dechert, LLP (formerly Dechert, Price & Rhoads) in its investment management practice both in Washington, D.C. and New York. During this time, she researched investment company, investment adviser, broker-dealer issues, regulatory and compliance matters, trading practices, SEC and NASD rules on advertising and sales practices, fund valuation and pricing policies, drafted exemptive applications, proxy statements, fund registration statements, and wrote memoranda for partners and associates.