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ADventures in Law

COPPA Is Back in the Saddle: FTC Publishes Final Rule for Children’s Privacy

BakerHostetler Team Supports Enzo Biochem, Inc. in Exploration of Transaction Options

Leif Sigmond Serves as Faculty for Sandpiper Partners’ Trade Secrets Conference

White House Increases Scrutiny on Foreign Investors: Why FOCI is a Concern for International Businesses (The Global Trade Law Journal)

Her breadth of experience spans such areas as general/corporate law and governance, compliance, private securities offerings and transactions, asset management, life settlements and certain regulated entities such as private placement broker-dealers and registered investment advisers.

Krista also previously held the Series 7, 24, 66, 79 and 99 FINRA licenses.

core/freeform

J.D., University of Houston Law Center, 2005, 

B.A., University of North Texas, 2002, 

Dallas

Jonno Forman, Patrick Campbell and Krista Fuller Author Article on SEC Consent Order

SEC Finds Investment Adviser CEO Liable for Failing to Supervise High-Risk Representative

Jonno Forman, Adam Gale and Krista Fuller Author Article About Compliance in Third-Party Marketing

Top Ten List for Complying with the SEC’s New Investment Adviser Marketing Rule

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Financial Services: Investment Funds

General Counsel Services Team

<ul>
<li>Served as General Counsel managing the legal, corporate governance, compliance, risk management and HR functions for a group of over 25 companies primarily engaged in structuring and managing private equity life settlement investment funds.</li>
<li>Worked closely with members of senior management to analyze, structure, negotiate and close various commercial transactions, including lines of credit and other bank financings.</li>
<li>Acted as Chief Compliance Officer for an investment adviser registered in Texas and a broker-dealer specializing in private placements and variable life settlements.</li>
<li>Managed or assisted in managing the registration and compliance of a Life Settlement Provider and Life Settlement Broker.</li>
<li>Assisted in structuring private equity investment funds and drafting the related offering documents and related materials, including forming the fund and general partner, preparing their governance documents and procedures, and drafting private placement memoranda, subscription documents and side letters.</li>
<li>Assisted in structuring, implementing and monitoring an Irish §110 DAC, Irish ICAV (QIAIF) and Cayman Islands private equity fund in addition to U.S.-based private equity funds.</li>
<li>Prepared and filed regulatory filings for private placements and registered entities, including Form D, Rule 5123, Form ADV, New Membership Applications, Continuing Membership Applications, Form BD, Form U-4 and U-5 and similar documents.</li>
<li>Drafted, negotiated and/or reviewed a wide range of transactional documents, including property management contracts, commercial leases, employment and independent contractor agreements, partnership agreements, operating agreements, company formation and governance documents, stock purchase agreements, origination agreements, master service agreements, subcontractor agreements, purchase and sale agreements, marketing and distribution agreements, securities account control agreements, custody agreements, escrow agreements, introducing broker agreements, securities subscription agreements, investor questionnaires and joint operating agreements.</li>
<li>Assisted companies in restructuring and combining operations and management, including combining separate companies into a parent-subsidiary structure or Series LLC.</li>
<li>Advised clients on intellectual property rights and securing protection on those rights, including preparation and filing of trademark applications.</li>
<li>Assisted in defending clients in securities inquiries and investigations and preparing clients for examinations and audits.</li>
<li>Conducted and/or assisted in all aspects of litigation and arbitration cases from inception through completion at federal, state and county levels, including preparing and presenting motions, chairing bench and jury trials and arbitrations and drafting appellate briefs, brief on the merits, and assisting in drafting petition for writ of certiorari.</li>
<li>Worked on various class actions, including <em>Enron Corp. Securities Litigation, Flowserve Corp. Securities Litigation, Kevin Lampkin v. UBS Financial Services, Inc.</em> and <em>Dell-Wise v. TaxMasters, Inc</em>.</li>
</ul>


Krista R. Fuller

Krista R. Fuller

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