Kristin Rice-Gonzalez

Kristin Rice-Gonzalez



Kristin Rice-Gonzalez is a partner in the Chicago office and is experienced in fund review and formation, mergers and acquisitions, investment adviser compliance and general corporate law, with an emphasis on real estate, secondary transactions and fund-of-funds.

Ms. Gonzalez provides comprehensive representation of investment advisers, private equity securities broker and private funds regarding complex regulatory, compliance and enforcement matters. She has significant experience with management and operational issues associated with securities brokerage and investment management businesses, as well as with securities transactions, investment product design, general corporate and transactional matters. Her practice includes assisting cross -border financial institutions and investors in their effort to comply with FINRA and SEC regulations.

She also advises clients on alternative investment fund matters, advising clients on the structuring and formation of, and investment in, international and domestic private investment funds, including private equity funds, and fund-of-funds. Ms. Rice-Gonzalez has represented well-known investors in international and domestic private funds and fund-of-funds. She has also represented domestic and foreign broker dealers and investment advisers in filings before the SEC and FINRA.

Breakout Session 1A: Anti-Money Laundering Compliance in the Securities Industry


Continuing uncertainty in Latam may be creating a return to old and unfavorable habits. The panel will explore new trends in structuring for Argentine clients, Mexican tax reform legislation that will impact the transparency of many traditional structures, and the impact of Regulation Best Interest both on AML obligations of securities houses and on the […]