Kimberly Garber, CEO, CORE-CCO
Published 01 June 2021
Kim Garber – CEO of CORE-CCO, a compliance and regulatory consultancy for private funds, joins the podcast as part of our “Investor Due Diligence for Minerals & Royalties Funds” mini series. During the episode, Kim discusses the different types of registration requirements and exemptions that should be considered when raising/operating a private minerals fund. She also walks through the various factors that trigger different kinds of State and SEC level oversight.
Kimberly Garber has over 25 years regulatory and compliance experience. A seasoned regulator, she is the former head of the SEC’s Forth Worth Regional Office Examination Program and an expert in federal securities laws and regulatory developments. Ms. Garber is also an expert in private fund compliance issues, providing compliance services to private equity funds, hedge funds, real estate funds, oil and gas and other alternative fund managers. Ms. Garber also previously served as Chief Compliance Officer or Senior Compliance Officer for three national investment management firms. As an experienced compliance officer and regulator, she has extensive regulatory contacts and insights into regulatory and compliance processes and challenges.
CORE-CCO, LLC is the premiere compliance services provider to private fund firms in Texas. CORE is a boutique compliance practice located in Dallas, Texas founded by two principals with more than 50 years combined regulatory, compliance and investment experience. CORE offers superior outsourced compliance resources and expertise, designed to be an integral part of our clients' daily operations, resulting in a stronger, more focused and competitive firm.
Find out more about http://www.core-cco.com/