Alison Fuller regularly counsels investment companies, investment advisers and independent trustees on federal and state securities law matters. She currently serves as partner-in-charge of the firm’s Washington, D.C., office.
Some of the matters on which Ms. Fuller has assisted clients include:
- drafting and implementation of complex compliance programs
- obtaining no-action, interpretive and exemptive relief from the Securities and Exchange Commission and its staff
- developing compliance programs with respect to asset segregation and the treatment of derivatives
- derivatives, valuation and other mock audits
Ms. Fuller is a frequent speaker on matters involving investment companies, investment advisers and independent trustees. Most recently, she served on the panel, “The Latest Developments with Investment Companies, Private Funds and Investment Advisers” at PLI’s 45th Annual Securities Regulation Institute in November, where Norm Champ, the Securities and Exchange Commission’s Director of the Division of Investment Management, was one of her co-panelists. Ms. Fuller also presented at the October ALI CLE conference entitled “Mutual Funds Today: Current Issues in Fund Regulation & Compliance.”
She was named to the 2014 edition of The Best Lawyers in America for her work in mutual funds law. Best Lawyers is regarded as the definitive guide to legal excellence and selection is based on an exhaustive peer-review survey.
Ms. Fuller previously served as Assistant Chief Counsel in the SEC’s Division of Investment Management for eight years. At the SEC, Ms. Fuller worked on more than 80 no-action letters and helped develop key positions on matters involving the investment management industry, including:
- affiliated transactions involving funds (e.g., redemptions and purchases in kind)
- the status of unique investment products and commodity pools as investment companies
- assignments of advisory contracts
Ms. Fuller also represented the Division of Investment Management on IOSCO’s Standing Committee 5, which addresses the regulation of investment companies in the global markets.
During her tenure at the SEC, Ms. Fuller received an award for supervisory excellence. She also received the Capital Markets Awards as a member of the Asset-Backed Securities Rulemaking Team, and as a member of the September 11, 2001 Recovery Team.