Associate liu@thsh.com 212-508-6775
Practice Areas
Areas of Focus
- Fund Formation and Counselling
- Investment Management
- Alternative Investments
- ESG and Impact Investings
- Financial Services, Hedge Funds and Capital Markets
- Fund-linked Structured Products
- Fund-related Financing Transactions
- Private Equity
- Securities
Industries
Karen Liu
Associate liu@thsh.com 212-508-6775
Practice Areas
Areas of Focus
- Fund Formation and Counselling
- Investment Management
- Alternative Investments
- ESG and Impact Investings
- Financial Services, Hedge Funds and Capital Markets
- Fund-linked Structured Products
- Fund-related Financing Transactions
- Private Equity
- Securities
Industries
Biography
Karen Liu is an associate in Tannenbaum Helpern’s Investment Management practice. Karen advises
- onshore and offshore venture capital, private equity, hedge funds and hybrid funds on fund formation and ongoing operational and compliance issues;
- fund sponsors on the structuring and organization of GP entities and management companies, and related seed capital arrangements; and
- U.S. and non-U.S. domiciled investment advisers on compliance matters arising under the Investment Advisers Act of 1940, the U.S. Securities Act of 1933, the U.S. Investment Company Act of 1940 and the Commodity Exchange Act.
A member of the New York State Bar Association’s ESG Committee, Karen’s practice also includes a focus on the implementation and regulation of Environmental, Social and Governance (ESG)-based investment strategies and impact investing.
Karen was awarded the Pro Bono Challenge Award by University of Virginia School of Law at graduation. While at Peking University Law School, her primary focus was on financial law and she concurrently completed a Human Rights Master program operated by Peking University Law School and Swedish Lund University Raoul Wallenberg Institute.
College: Nankai University (School of Economics and College of Foreign Languages)
Law School:
- University of Virginia School of Law
- Peking University Law School
- MagStone Law, LLP
- Steptoe & Johnson LLP
Professional:
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- New York
- Chinese National Bar (not practising)
Publications
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline
Karen Liu is an associate in Tannenbaum Helpern’s Investment Management practice. Karen advises
- onshore and offshore venture capital, private equity, hedge funds and hybrid funds on fund formation and ongoing operational and compliance issues;
- fund sponsors on the structuring and organization of GP entities and management companies, and related seed capital arrangements; and
- U.S. and non-U.S. domiciled investment advisers on compliance matters arising under the Investment Advisers Act of 1940, the U.S. Securities Act of 1933, the U.S. Investment Company Act of 1940 and the Commodity Exchange Act.
A member of the New York State Bar Association’s ESG Committee, Karen’s practice also includes a focus on the implementation and regulation of Environmental, Social and Governance (ESG)-based investment strategies and impact investing.
Karen was awarded the Pro Bono Challenge Award by University of Virginia School of Law at graduation. While at Peking University Law School, her primary focus was on financial law and she concurrently completed a Human Rights Master program operated by Peking University Law School and Swedish Lund University Raoul Wallenberg Institute.
College: Nankai University (School of Economics and College of Foreign Languages)
Law School:
- University of Virginia School of Law
- Peking University Law School
- MagStone Law, LLP
- Steptoe & Johnson LLP
Professional:
- American Bar Association
- New York State Bar Association
- New York City Bar Association
- New York
- Chinese National Bar (not practising)
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline