Kathy D. Ireland

Kathy D. Ireland is a Bates Consulting Expert specializing in ERISA and investment adviser issues, including codes of ethics and fiduciary matters. Prior to establishing her own consulting practice, Ms. Ireland served as Counsel for Federal Government Affairs at Ameriprise Financial in Washington, D.C. From 2011 to 2017 she represented SEC-registered investment advisers at the U.S. Department of Labor as well as the SEC as Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, she was an independent consultant focusing on ERISA and securities issues.

Ms. Ireland also worked on the legal staff at the Investment Company Institute, representing the mutual fund industry in regulatory and compliance matters, in the Division of Investment Management at the SEC, and at the law firm of Gibson, Dunn & Crutcher. She earned a Bachelor of Science degree, magna cum laude, from Lebanon Valley College, a law degree from the College of William and Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.

Kathy is a consultant and subject matter expert in these Practice Areas and Services:

Securities and Financial Services Litigation & Consulting
- Retail Securities
- Institutional Securities
Compliance Solutions
- Registered Investment Advisers
ERISA

Credentials

EXPERIENCE

Bates Group LLC, Consulting Expert, 2020 - Present
K.D. Ireland Consulting, LLC, Owner, 2018 – 2020 (2005 – 2010, 1998 – 1999, and 1994 – 1997)
Ameriprise Financial, Counsel, Federal Government Affairs, 2017 – 2018
Investment Adviser Association, Associate General Counsel (Acting General Counsel, 2014 – 2015), 2011 – 2017
Investment Company Institute, Senior Associate Counsel, 1999 – 2005, 1991 – 1994 and 1987 – 1990
Securities and Exchange Commission, Staff Attorney (Investment Adviser Task Force), Division of Investment Management, 1997 – 1998
Gibson, Dunn & Crutcher, Of Counsel and Associate, 1990 – 1991 and 1981 – 1987

EDUCATION

Master of Laws (LL.M.), Labor Law, National Law Center, George Washington University

Juris Doctor (J.D.), Marshall-Wythe School of Law, College of William and Mary, Order of the Coif, Law Review Executive Board

Bachelor of Science (B.S.), Actuarial Science and Social Sciences (Economics Concentration), Lebanon Valley College

PUBLICATIONS

Ireland, 398-2nd T.M., Reductions in Force (BNA Tax Management Portfolio) (2011).
Ireland, 360-4th T.M., Qualified Plans – IRS Determination Letter Procedures (BNA Tax Management Portfolio) (2007); 5th ed. (2013); and 6th ed. (expected 2020).
Holden, Sarah, Kathy Ireland, Vicky Leonard-Chambers, and Michael Bogdan. “The Individual Retirement Account at Age 30: A Retrospective,” ICI Perspective, Vol. 11, No. 1, Washington, DC: Investment Company Institute, February 2005 (www.ici.org/pdf/per11--01.pdf).