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
- managing the reorganization of multiple funds
- derivatives valuation and other mock audits
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
- the status of unique investment products and certain commodity pools as investment companies
- hedge fund formation and valuation of assets
Ms. Fuller also represented the Division of Investment Management on IOSCO’s Standing Committee 5.
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.