Keidi Carrington
Securities, Corporate and Business Start Up Attorney
Massachusetts
MA, NY
"Keidi provided expert and timely advice when I needed it badly."
About
Her practice focuses on incorporating startups and small businesses, drafting the necessary documents such as partnership, operating and shareholder agreements as well as by-laws and assisting businesses with raising capital by establishing Regulation D private placements, Regulation A small securities offerings, drafting S-1 registrations and convertible equity/debt contracts. She also negotiates various employment… read more contracts, vendor contracts and purchase agreements.
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Practice Areas
Client Reviews
"Keidi provided expert and timely advice when I needed it badly."
"We used UpCounsel for the first time and found Keidi. Keidi was great to work with. She provided prompt responses, excellent guidance and was extremely knowledgeable."
"Keidi has been really helpful with all of our needs."
"I could not have done better regardless of point of contact."
"Fast and professional work - made my life much easier as I try to start a business."
"Keidi is a very informed and professional attorney with expansive knowledge on several subjects. She was very willing to explain the process and any question I had. I would definitely encourage anyone looking for an attorney with expertise in SEC regulation to work with her."
Work History
Carrington Legal Group P.C.
Principal Attorney/Compliance Consultant
Jan 2008 - Present
• Advises entrepreneurs and startups in the areas of capital raising (debt and equity financing) and business combinations (mergers and acquisitions, asset purchases and joint ventures)
• Drafts incorporation documents, by-laws, operating agreements, service provider contracts and other corporate documents.
• Drafts limited partnership agreements for hedge funds, private equity and venture fund formations.
• Represents issuers in private placements of securities under Regulation D to accredited, institutional and other investors.
• Drafts S-1 registration statements.
• Counsels newly formed investment advisers regarding organizational structure.
• Initiates, develops, maintains and revises policies and procedures for various confidential investment advisers' compliance programs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Monitors the performance of compliance programs.
• Reviews and evaluates compliance issues and concerns and ensure that they are investigated and resolved.
• Establishes small issues of securities under Regulation A.
CompliGlobe Limited
Senior Regulatory Consultant
Apr 2013 - Jul 2014
• Provides regulatory and compliance consulting services to investment advisers (IAs), exempt reporting advisers (ERAs) and broker-dealers (BDs)
• Advises SEC registered and unregistered clients in developing and implementing customized compliance programs
• Conduct mock examinations to evaluate client compliance with federal securities laws
• Assists firms with CFTC compliance, registrations, annual reviews, forensic monitoring and testing, compliance training for management and staff
State Street Corp.
Associate Counsel
Mar 2006 - Aug 2007
• Drafted and updated registration statements requiring filing under the federal securities laws; including Form N-1A, Form N-2 and Form N-14.
• Reviewed semi-annual shareholder reports and prepared Form N-CSR.
• Prepared materials for client board meetings, including agendas, resolutions, explanatory memoranda, procedures, and contracts.
• Attended board meetings and prepared meeting minutes.
• Assisted client chief compliance officers in discharging their duties under Rule 38a-1 of the Investment Company Act of 1940.
• Drafted and negotiated transfer agency agreements, fund administration agreements and authorized participant agreements for exchange traded funds.
U.S. Securities & Exchange Commission
Securities Compliance Examiner
Sep 1999 - Mar 2006
• Led examinations and investigations of investment companies, investment advisers, hedge funds and transfer agents that ensure compliance with the Investment Adviser Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934.
• Reviewed advisory contracts, prospectus disclosure, affiliated transactions and Codes of Ethics.
• Assessed board governance.
• Analyzed SEC filings for content and timeliness.
• Conducted conferences and interviews with a variety of company personnel in order to determine possible regulatory violations, and with officers and partners of registrants, private investors, attorneys, CPAs, industry and banking officials, and law enforcement officials on matters relevant to the examination.
• Researched and interpreted securities laws, regulations and no-action letters.
• Prepared report of findings to entity outlining securities laws violations and operational deficiencies and corrective actions to be taken.
• Participated in enforcement proceedings by identifying potential witnesses, managing document production, drafting inquiries and questioning witnesses during testimony.