Education

University of Notre Dame Law School, J.D., 2008

Indiana University, Kelley School of Business, B.S., Marketing and Distribution Management, 2004

Admitted

Illinois, 2008

Roy Kim is a partner in Chapman’s Corporate and Securities Department and has been practicing law since 2008 when he joined the firm. His practice focuses on corporate and securities law matters, with particular emphasis on registered investment companies and traditional corporate securities transactions. 

Roy has extensive experience in advising investment advisers and investment companies on a broad range of transactional, regulatory, governance and compliance matters, including matters related to the representation of the independent trustees of registered investment companies.

Representative Transactions

  • Counsel to SEC registered interval closed-end investment company investing in marketplace loans.
  • Counsel to SEC registered exchange-listed closed-end investment companies in connection with initial public offerings and follow-on offerings of common stock.
  • Counsel to mutual funds and exchange-traded funds in connection with their organization, SEC registration, offering materials, and ongoing regulatory and compliance obligations.
  • Counsel to U.S. rail holding company in senior notes and debt exchange offerings.
  • Counsel to underwriters in connection with common stock offerings of NYSE-traded energy company.