Vanessa Meeks

Investment compliance advisor with extensive regulatory insight

Vanessa Meeks counsels investment advisers on both registration and ongoing compliance matters. She advises registered investment companies, their investment advisers and their boards of directors/trustees on a wide variety of regulatory, compliance and business matters, including:

• Fund governance matters
• Adviser registration and compliance

Vanessa formerly served as a senior counsel with the U.S. Securities and Exchange Commission (SEC), where she worked in the Division of Investment Management and the Office of Investor Education and Advocacy. She has extensive experience with the Investment Advisers Act of 1940 and Investment Company Act of 1940, including related SEC rulemakings, no-action letters and exemptive relief. She has had responsibility for advising on enforcement cases and examinations, including an onsite investment adviser examination. This experience enables her to provide her clients with practical and customized strategies to their business needs.

• Advises Quarles’ Securities Litigation and Enforcement team on securities issues in FINRA arbitration, court and regulatory proceedings.