Christine Ayako Schleppegrell

christine-schleppegrell

Christine Ayako Schleppegrell

Associate

Washington, D.C. | 1900 K Street, NW, Washington, DC 20006-1110
+1 202 261 3357 | +1 202 261 3333

| vCard | PDF

Christine Ayako Schleppegrell focuses her practice on investment management, with an emphasis on mutual fund governance and investment adviser counseling. Ms. Schleppegrell has experience serving as fund, adviser and independent trustee counsel for small, mid-sized and large registered fund complexes. She specializes in advising registered fund complexes on distribution and product development. As part of her investment adviser practice, Ms. Schleppegrell counsels clients on compliance and disclosure obligations, including Form ADV reporting and custody issues.

Experience
  • Advised on a tax-free reorganization of several open-end registered investment companies into existing and shell funds.
  • Counseled clients on mutual fund product developments in connection with new share classes (clean shares, T shares), intermediary payment streams, and related regulatory initiatives. 
  • Advised broker-dealers and investment advisers on various fiduciary obligations, including those arising under the Advisers Act, the DOL Fiduciary Rule, and state standards.
  • Served as liaison between regulators and trade associations to address Advisers Act Custody Rule guidance. 
  • Obtained interfund lending exemptive relief for several mutual fund complexes and advised on operational issues in connection with program implementation.
Education
  • Vassar College, B.A., Political Science, 2008
  • Oxford University, St. Catherine’s College, 2007
  • University of Washington School of Law, J.D., 2011
Admissions
  • District of Columbia
  • California
Clerkships
  • United States Bankruptcy Court, Eastern District of California, Honorable Christopher M. Klein
Memberships
  • American Bar Association, Business Law Section, Federal Regulation of Securities Committee
  • Asian Pacific American Bar Association of D.C., Treasurer
  • National Asian Pacific American Bar Association
  • Investment Adviser Association
  • Women in Investment Management of D.C.
  • Women's Investment Management Forum
  • Washington D.C. Compliance Round Table, Founding Board Member
  • D.C. Bar Association, Investment Management and Broker-Dealer Regulation Sub-Committee, Co-Chair
Speaking Engagements
  • 22D Pricing Programs, Phoenix, AZ (February 13, 2018)

Christine Ayako Schleppegrell speaks on a panel titled “22-D Pricing Programs.” This panel explores how a new pricing model for clean shares could benefit funds and broker-dealers.

  • International Best Practices in Mentoring to Increase Competency, Professionalism, and Ethics in the Legal Profession — ABA Section of International Law Spring Meeting in D.C., Washington, D.C. (April 25, 2017)

During the Meeting, associate Christine Schleppegrell speaks on a panel titled "International Best Practices in Mentoring to Increase Competency, Professionalism, and Ethics in the Legal Profession."
View more information »

  • Federal Court Clerkships — Robert E. Wone Annual Judicial Clerkship & Internship Conference, Washington, D.C. (October 22, 2016)

During the conference, associate Christine Schleppegrell moderates a panel titled “Federal Court Clerkships.”
View more information »

  • SEC Proposes Changes to Form ADV — NSCP Washington, D.C. Roundtable (June 1, 2015)
  • How to Build Your Book of Business — Turnaround Management Association NextGen (October 1, 2014)