Alison Fuller

Lawyer information

Practice Areas

Alison regularly counsels investment companies, investment advisers and independent trustees on federal and state securities law matters.

Some of the matters on which Alison has assisted clients include:

-creation of board oversight techniques in unique areas such as regarding adviser changes in control and advisory agreement assignments, proxy voting, fund use of derivatives, alternative investment strategies, ETFs, valuation, etc.

- obtaining no-action, interpretive and exemptive relief from the Securities and Exchange Commission and its staff

- developing fund and adviser compliance programs

Alison worked at the U.S. Securities and Exchange Commission for 10 years, including eight years as Assistant Chief Counsel in the Division of Investment Management.

While at the SEC, Alison worked on more than 80 substantive 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 commodity pools as investment companies

- assignments of advisory contracts

-proxy voting

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