Kiki Scarff is a shareholder in Baker Donelson's Raleigh office and focuses her practice on investment management law and investment adviser regulation. With extensive experience representing both institutional and retail investment advisers, Kiki guides clients through the formation and registration process on Form ADV with the U.S. Securities and Exchange Commission (SEC) and state securities authorities. She offers practical, business-focused advice on ongoing operations, regulatory compliance programs, and risk management strategies to help advisers remain compliant with evolving securities laws.
Investment advisers turn to Kiki for strategic guidance on navigating investigations, examinations, and enforcement-related inquiries by the SEC, self-regulatory organizations, and state agencies. Her in-depth knowledge of both federal and state securities regulations allows her to craft effective, real-world solutions to complex compliance challenges.
Kiki's practice includes counseling clients on the structuring, formation, and offering of private investment vehicles, including hedge funds, private equity funds, real estate funds, venture capital funds, debt funds, and single-purpose vehicles. She provides guidance on fund governance, offering documents, and investor disclosure requirements to ensure compliance and market readiness.
Kiki advises registered investment companies and their boards of trustees on a wide spectrum of issues, including corporate governance, organizational structuring, regulatory disclosures, and compliance obligations. Her comprehensive approach helps clients navigate the intersecting demands of business operations and regulatory oversight.