Kathleen H. Moriarty

Partner
kathleen.moriarty@kattenlaw.com
New York Office
p+1.212.940.6304
f+1.212.894.5504
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Overview

Kathleen H. Moriarty has extensive experience representing investment companies with the creation, structuring and development of new exchange-traded products. Kathleen was actively involved in the development of Standard & Poor's Depository Receipts (SPDRs) and has since advised on the creation of many more exchange-traded funds (ETFs), including iShares, Vanguard Exchange-Traded Funds (VIPERS), ProShares, WisdomTree and IndexIQ.

Domestically, Kathleen represents a wide variety of market participants in connection with commodity-backed derivative securities and non-investment company exchange traded vehicles (ETVs), such as the SPDR Gold Trust and the US ETFs precious metals trusts. She counsels broker-dealers in connection with trading issues relating to the purchase and sale of ETF and ETV shares and also represents ETF managers in connection with the licensing of financial indexes as well as index providers licensing their financial products to ETFs. In addition, she works with a number of hedge fund and other pooled operators to bring their products to wider retail and individual markets, bringing her Investment Company Act of 1940 (’40 Act) and Jumpstart Our Business Startups Act (JOBS Act) insights to her clients to assist them in navigating the new regulatory landscape.

Kathleen counsels ETF projects globally, including assisting the Stock Exchange of Hong Kong with the structure and creation of the Hong Kong Tracker Fund and representing the American Stock Exchange and NYSE Arca in connection with the cross-listing of DIAMONDS Trust (DIA) on the Singapore Exchange and Euronext N.V. She regularly advises foreign entities and delegations from both public and private sectors with respect to the regulation and operation of US ETFs and ETVs. For her long-term contributions in this arena, Kathleen was nominated for the 2014 IndexUniverse ETF Lifetime Achievement Award.

Kathleen also assists her clients in Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) regulatory matters associated with the Dodd-Frank Act. She advises clients on how to register with the CFTC or how to structure their exchange-traded products to comply with rules regarding swaps and commodity pools.

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Recognition

Super Lawyers, 2006–2007

Capital Link Annual Close-End Fund and ETF IR Awards

Capital Link Annual Close-End Fund and ETF IR Awards, Honorable Mention for Contribution to the Exchange Traded Funds Sector

ETF Hall of Fame

ETF Hall of Fame, Inaugural Member

ETP Icon of the Industry

ETP Icon of the Industry, 2012, 2013

Financial Times

Financial Times, US Innovative Lawyers 2013

ETF.com Lifetime Achievement Award

ETF.com Lifetime Achievement Award, 2014
Advisories
Articles
June 1, 2009
"Legal and Regulatory Issues Related to ETFs and Certain Other Exchange-Traded Instruments," Exchange-Traded Funds: Conceptual and Practical Investment Approaches (A. Seddik Meziani (ed.), Risk Books, London)
Newsletters
Firm News
Speaking Engagements
June 2, 2014
Moderator, Bitcoins, Fantasy or Reality? | 2014 IAQF Annual Conference | New York, New York
September 10, 2010

Education

  • JD, University of Notre Dame Law School
  • AB, Smith College

Bar Admissions

  • New York

Recognition

2006–2007

Capital Link Annual Close-End Fund and ETF IR Awards

Honorable Mention for Contribution to the Exchange Traded Funds Sector

ETF Hall of Fame

Inaugural Member

ETP Icon of the Industry

2012, 2013

Financial Times

US Innovative Lawyers 2013

ETF.com Lifetime Achievement Award

2014
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Memberships

  • American Bar Association, Federal Regulation of Securities Subcommittee on Investment Companies and Investment Advisors; Regulation of Futures and Derivative Instruments Committee
  • NASDAQ, Listing and Hearing Review Council
  • New York City Bar Association, Investment Management Regulation Committee
  • The Women's Investment Management Forum
  • Journal of Indexes, Editorial Board
  • Women in ETFs, Board Member
  • NASDAQ OMX, Global Index Advisory Council
  • '40 Acts Committee
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