Karrie McMillan combines her decades of SEC, legal, and asset management experience to provide advice and technical expertise to companies on a variety of regulatory, compliance, enforcement, and litigation matters. She focuses on internal compliance, and corporate governance issues of financial services companies; conducts comprehensive reviews of firms’ operations and compliance functions in heavily regulated industry; and makes practical recommendations tailored to the particular firm’s size, needs and business model.
Ms. McMillan is the former General Counsel of the Investment Company Institute (ICI), the national association of the U.S. investment company industry. In her role as General Counsel, Ms. McMillan was responsible for legal and regulatory initiatives affecting the Institute’s member firms, which represent over 90 million individual shareholders and manage approximately $16.5 trillion in investor assets.
Prior to joining ICI, Ms. McMillan was a partner in the Asset Management Groups at Willkie Farr & Gallagher LLP and Shearman & Sterling LLP. She also served at the SEC’s Division of Investment Management from 1991 until 1998, rising to the position of Assistant Chief Counsel in the Division’s Office of Chief Counsel.
Ms. McMillan is a graduate of the College of William and Mary and the University of Virginia School of Law.