Domenick Pugliese

Ranked in 1 Practice Areas

Band 4

Registered Funds

USA - Nationwide

3 Years Ranked

Ranked in Guides

Global 2024

About

Provided by Domenick Pugliese

USA

Practice Areas

Corporate Governance & Board Advisory

Financial Services

Investment Management

Registered Funds & Independent Trustees

Regulatory Compliance

Environmental, Social and Governance (ESG)

Career

Dom has over 30 years’ experience as a trusted adviser to registered investment companies and their boards regarding all aspects of Investment Company Act and Investment Advisers Act regulation. He counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies. He also dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds, exchange traded funds and variable annuity trusts.

Dom represents fund companies (and their Boards) of all sizes, from large, multi-fund and multi-manager complexes, to smaller fund companies both within multiple series trusts and as stand-alone entities. Dom and his team are expert in launching new fund complexes, in both a timely and cost-efficient manner and in counseling entrepreneurs who are thinking of entering the fund business. Dom has worked with clients creating new ESG mutual funds and ESG ETFs.

Dom has deep experience in the practical realities of how funds and advisers work, experience gained from working both inside investment advisory organizations and as outside counsel to those organizations and the funds they manage. This insider’s perspective enables him to develop solutions that are both practical and effective. As outside counsel, Dom views his role as a multi-faceted one. Not only does he counsel boards on their statutory and regulatory obligations, but he also ensures that boards understand how to represent the best interests of shareholders and how to work with the adviser to advance the business of the fund and the interests of shareholders.

Dom has been recognized for his expertise and high level of service. He has been a finalist for Independent Counsel of the Year by the Fund Intelligence Mutual Fund Industry & ETF Awards for the last three years. Dom has been highly ranked by Chambers Global, Chambers USA, and Legal 500 for many years. He is also recognized in the Best Lawyers in America® for the last 7 years.

As counsel to Independent trustees, Dom coordinates Executive Sessions, with and without management, so that independent trustees can provide the strategic oversight and guidance so necessary to the success of the fund business. Dom also believes in working closely with internal counsel and the chief compliance officer.

Before entering private practice, Dom was a deputy general counsel for Alliance Capital and in-house counsel at Prudential Mutual Fund Management.

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