Alison Fuller
USA Guide 2023
Band 2 : Registered Funds
Email address
[email protected]Contact number
202.419.8412Share profile
Band 2
About
Provided by Alison Fuller
Practice Areas
Alison Fuller 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:
- launch and creation of board oversight techniques for funds using derivatives and alternative investment strategies
- obtaining no-action, interpretive and exemptive relief from the Securities and Exchange Commission and its staff
- developing compliance programs, including regarding asset segregation and the treatment of derivatives
derivatives, valuation and other mock audits
Career
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 (e.g., redemptions and purchases in kind)
- the status of unique investment products and commodity pools as investment companies
assignments of advisory contracts
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.
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