Lance King is counsel in Seward & Kissel’s Investment Management Group and is located in the Washington, DC office.
Lance’s practice focuses on a broad range of regulatory, compliance, and transactional matters affecting investment companies and registered investment advisers. His experience includes counseling clients in the establishment, registration, and operation of registered investment companies; developing and reviewing compliance programs for investment companies and investment advisers; and counseling clients undergoing regulatory examinations.
Lance previously served as assistant vice president and associate general counsel at an investment management firm, where his responsibilities included the preparation of disclosure and regulatory filings, the review of mutual fund advertising, and drafting and reviewing contracts with service providers. He formerly held Series 7 (General Securities Representative), Series 24 (General Securities Principal), and Series 53 (Municipal Securities Principal) FINRA licenses, and earned the Claritas® Investment Certificate from the CFA Institute.
Lance received a B.A. from Tufts University and a J.D. from the University of Pennsylvania Law School.