Sarah E. Kim
Lawyers
Provides regulatory and compliance advice to investment managers in connection with their ongoing operations and investment activities.
Sarah provides regulatory and compliance advice to investment managers in connection with their ongoing operations and investment activities, including compliance with the Investment Advisers Act and Investment Company Act. She also advises corporations, banks, insurance companies and other financial institutions regarding exemptions under the Investment Company Act and Investment Advisers Act.
She served as a contributing editor for International Comparative Legal Guide: Public Investment Funds 2021, and co-authored the “USA” chapter.
Experience
Recent Work
- Pony AI $413 million IPO
- NatWest Group $750 million contingent convertible Additional Tier 1 notes
- Ventas public offering of 10.6 million shares
- Horizon Robotics HK$5.41 billion IPO
- UP Fintech Holding $110 million follow-on offering
- Morgan Stanley £1 billion offering of senior notes
- Kosmos Energy $500 million notes offering and concurrent tender offers
- CSX $550 million senior notes offering
- Canadian National Railway $750 million notes offering
- CK Hutchison Holdings $1 billion notes offering
- Mastercard $3 billion senior notes offering
- YXT.COM $25 million IPO
- Mitsubishi HC Finance America $500 million guaranteed notes offering
- Banco Santander $3.75 billion notes offering
- XP $500 million senior notes offering and concurrent tender offer
- Applied Materials $700 million senior notes offering
Insights
Education
J.D., Harvard Law School
- cum laude
B.A., History, Yale University
Prior experience
- Senior Counsel, PNC Asset Management Group, PNC Bank, 2013-2015
- Regional Legal Counsel, Citi Private Bank, Citibank, Hong Kong Branch, 2002-2013
Qualifications and admissions
- State of New York