Ruchi Sharma is a Partner at Norm Law LLP and a member of the Registered Investment Adviser and Private Funds Regulatory practice. She provides investment management regulatory advice to registered investment advisers, private fund sponsors, and other asset management firms, including private equity firms, venture capital firms, hedge funds, and fund managers that invest in real estate, infrastructure, private credit, secondaries, and digital assets.
Ruchi leads engagements analyzing the applicability of U.S. investment adviser registration requirements to U.S. and non-U.S. businesses, guiding clients through the SEC registration process, and helping them navigate the complex landscape of Advisers Act regulation. Her practice focuses on SEC marketing regulations, the Custody Rule, Form ADV and Form PF filings, conflicts management, related-party transactions, "change of control" issues, the SEC pay-to-play rule, and other regulatory matters. She also advises on the regulatory aspects of M&A involving asset managers, as well as GP-led secondary transactions, minority stake investments, and management team spin-outs, including post-acquisition compliance implementation.
Ruchi has counseled investment advisers through complex SEC examinations, working closely with legal and compliance teams to develop effective response and remediation strategies, including examinations that concluded without deficiencies or formal comments. She has also led mock SEC audits and compliance program implementation, including matters relating to codes of ethics, information barriers, compliance protocols, and MNPI policies.
Her prior experience includes the investment management groups at Latham & Watkins and Schulte Roth & Zabel (now McDermott Will & Schulte), and JPMorgan Asset & Wealth Management, where she gained in-house experience in regulatory oversight and risk management within a global financial institution.
J.D., Benjamin N. Cardozo School of Law
B.A., New York University
New York