Biography

Ruchi Sharma is Counsel at Norm Law and a member of the Investment Funds and Regulatory practice. She advises registered investment advisers, private fund sponsors, and institutional asset managers on SEC regulatory, compliance, and enforcement matters under the Investment Advisers Act of 1940 and related U.S. securities laws.

Her practice includes Form ADV and Form PF reporting, marketing rule and custody rule compliance, conflicts management, and regulatory aspects of M&A and IPO transactions involving asset managers, as well as GP-led secondary transactions, minority stake investments, and management team spin-outs.

Ruchi has counseled investment advisers through complex SEC examinations, working closely with legal and compliance teams to develop effective response and remediation strategies. Her experience includes examinations that concluded without deficiencies or formal comments.

Prior to joining Norm Law, Ruchi practiced in the investment management groups at Latham & Watkins and Schulte Roth & Zabel (now McDermott Will & Schulte). She began her career at JPMorgan, where she gained in-house experience in regulatory oversight and risk management within a global financial institution