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Kathleen Moriarty

Kathleen Moriarty

Partner
Corporate Department

New York
T: +1 212 836 8276
F: +1 212 836 8689


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Legal Services

Education

  • University of Notre Dame Law School
    JD, 1980
  • Smith College
    BA, 1975

Bar Admission(s)

  • New York

Kathleen H. Moriarty is a partner in the Corporate Department of Kaye Scholer LLP. She has extensive experience representing investment companies with the creation, structuring and development of new exchange-traded products (ETPs) and was actively involved in the development of SPDRs, the first US exchange-traded fund (ETF) as well as many other ETFs. Kathleen represents a wide variety of market participants in connection with ETPs as well as commodity-backed derivative securities and non-investment company exchange traded vehicles, such as the US ETFS precious metals trusts. She also advises index providers licensing their financial products to ETPs.

In addition, Kathleen represents entities that are developing businesses involved in the virtual currency and Blockchain space, including bitcoin exchanges. She also consults with virtual currency businesses, especially with regard to securities law issues. In addition, she advises funds investing in Blockchain companies and virtual currencies directly, as well as entities using the Blockchain to underpin a variety of uses, such as clearing securities, constructing identification systems for stateless children and establishing repositories for legal data. The Financial Times in 2013 recognized Kathleen as a “US Innovative Lawyer” for her work in this area.

Kathleen is regularly quoted in the media about issues relating to ETPs, financial indexes, bitcoin, Blockchain and other virtual currency related matters. She is a frequent speaker at industry conferences and webinars, and has published articles on these topics.

Kathleen is an inaugural member of the ETF DataBase’s ETF Hall of Fame, a recipient of two Global ETP Icons of the Industry Awards and the winner of the first ETF.com Lifetime Achievement Award. 

Recent Speaking Engagements

  • Panelist, “Adapting the Regulatory Framework to Blockchain Technology”, COALA Blockchain Workshop NYC, New York University’s Stern School of Business, April 5th, 2016
  • Moderator, “Blockchain Investment (and Adoption) from an Institution Perspective”, COALA Blockchain Workshop NYC, New York University’s Stern School of Business, April 5th, 2016
  • Panelist, “Current Applications of Blockchain Technologies in the Financial Sector”, Blockchain Workshops, Sydney, Australia, December 10, 2015.
  • Panelist, “Regulatory Challenges and Today’s Operational Risks: Understanding the Legal Framework for Blockchain Technologies”, Blockchain Workshops, Sydney, Australia, December 10, 2015.
  • Panelist, “FinTech Regulatory Environment in the US,” SelectUSA FinTech Delegation at Barclays Rise, New York, November 19, 2015.
  • Panelist, Regulatory Panel: ETF Developments, 2015 BNY Mellon Tax and Regulatory Client Forum, New York, November 17, 2015.
  • Panelist, “Blockchain Usage and Technological Improvements on the Financial Markets,” Kaye Scholer LLP, New York, November 5, 2015.
  • Panelist, “Overview of Global ETF Marketplace,” BNY Mellon ETF Symposium, Dana Point, California, October 21, 2015.
  • Panelist, “How Regulators Have Been Weighing in on ETFs,” BNY Mellon ETF Symposium, Dana Point, California, October 21, 2015.
  • Moderator, “Bitcoin – A Disruptive Force in the Financial Landscape,” Kaye Scholer LLP, New York, October 15, 2015.
  • Panelist, “Financial Infrastructure: Blockchains, Big Data, and Beyond,” NYLS FinTech Law and Disruption Conference, New York, October 6, 2015.
  • Panelist, “Assembling the Pieces of the Regulatory Puzzle,” ETF Boot Camp, New York, September 24, 2015.
  • Panelist, “Blockchain: Law, Regulation Policy and the Law of the Horse,” Blockchain Global Impact, Stamford, California, March 23, 2015.
  • Panelist, “Alternative Mutual Funds—Risk Governance under SEC Scrutiny,” Webinar, February 17, 2015.
  • Panelist, “DIY: A Guide to Building, Registering & Selling a New ETF,” Inside ETFs-Hollywood, Florida, January 28, 2015.
  • Panelist, Blockchain Technical & Legal Workshop, Cambridge, Massachusetts, January 15–16, 2015.
  • Presenter, “Liquid Alts for Fund Managers,” New York, New York, October 8, 2014.
  • Presenter, “Liquid Alts for Fund Managers,” New York, New York, October 1, 2014.
  • Moderator, “Bitcoins, Fantasy or Reality?,” 2014 IAQF Annual Conference, New York, New York, June 2, 2014.
  • Panelist, 13th Annual Capital Link Closed-End Funds and Global ETFs Forum, New York, New York, April 24, 2014.
  • Panelist, “The Global ETP Marketplace–Developments and a Look Forward,” 10th Annual Global ETF Awards, New York, New York, April 10, 2014.
  • Panelist, “The Evolution and Future of ETFs—What You Need to Know,” STANY 78th Annual Conference & Dinner, New York, New York, April 10, 2014.
  • Panelist, “How Future ETF Regulation Will Impact Your Business and Clients,” Seventh Annual Inside ETFs Conference, Hollywood, Florida, January 26–29, 2014.
  • Panelist, “Private Roundtable: Bitcoin,” New York, New York, October 30, 2013.
  • Panelist, “Effective Fund Distribution Strategies,” New York, New York, June 13, 2013.
  • Panelist, “Pooled Vehicles: Entering the Retail Space,” New York, New York, April 29, 2013.
  • Presenter, “How Can Issuers and Investors Identify New and Unexpected Risks?,” Diversified Asset Show 2012, London, United Kingdom, October 24–25, 2012.
  • Panelist, “Will Possible Regulatory Changes Impact Future ETP Product Design?,” 8th Annual Global ETF Awards Workshop, New York, New York, April 26, 2012.
  • Moderator, “Examining Developments for Exchange Traded Funds,” 22nd Annual Conference on Globalisation of Investment Funds, Boston, Massachusetts, May 15–18, 2011.
  • Moderator, “The Changing Regulatory Landscape,” 2nd Annual Inside ETFs Europe Conference, Amsterdam, Netherlands, May 5–6, 2011.
  • Panelist, “Advanced ETFs Workshop,” 4th Annual Inside ETFs Conference, Hollywood, Florida, February 6–8, 2011.

 Publications

  • Co-author, An Introduction to Bitcoin and Blockchain Technology, Kaye Scholer LLP, October 21, 2015.
  • Co-author, “The Evolution of a New Asset Class,” Law360, January 2, 2014.
  • Co-author, “Private Roundtable: Bitcoin,” Center for Financial Stability, October 30, 2013.
  • Author, “Legal and Regulatory Issues Related to ETFs and Certain Other Exchange-Traded Instruments,” Exchange-Traded Funds: Conceptual and Practical Investment Approaches (A. Seddik Meziani (ed.), Risk Books, London), June 1, 2009.

Memberships

  • Women in ETFs – Director
  • The Brearley School – Trustee
  • Investment Management Regulation Committee of the New York City Bar Association – Member
  • '40 Acts Luncheon Group – Member
  • Women's Investment Management Forum – Member
  • NASDAQ Quality of Markets Committee – Member
  • NASDAQ OMX Listing and Hearing Review Council – Member
  • Editorial Board of the Journal of Indexes – Member