Alison Fuller

Practice Areas

Alison Fuller is an investment management lawyer counseling independent trustees and investment advisers on federal and state securities law matters. Her practice focuses on the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Having spent a decade working at the U.S. Securities and Exchange Commission (SEC), Alison is well-versed in interpreting regulatory developments, SEC guidance and legal and compliance requirements. Her clients range from those working with the largest asset managers to startups. With more than 30 years of experience, Alison seeks to provide practical advice.

Alison provides counsel on a wide range of matters under state and federal securities laws, including the launch and creation of funds, the development of board oversight techniques, and the application of alternative investment strategies in registered vehicles. She has also performed mock audits and investigations.

Clients also turn to Alison for assistance in obtaining no-action, interpretive and exemptive relief from the SEC and its staff. Alison spent eight years as assistant chief counsel in the SEC’s Division of Investment Management, during which she worked on more than 80 substantive no-action letters covering a wide range of topics. Such topics included affiliated and joint transactions involving funds and their investment advisers, the status of unique investment products and commodity pools as investment companies, and assignments of advisory contracts.

Alison also represented the Division of Investment Management on the International Organization of Securities Commissions (IOSCO)’s Standing Committee 5, which addresses the regulation of investment companies in the global markets.

Alison serves on the board of directors of Stradley Ronon and was previously head of the Washington, D.C., office.