Jon-Luc Dupuy

Jon-Luc Dupuy is a partner in the Asset Management and Investment Funds practice group.

With more than 25 years of experience in the asset management industry, Jon-Luc advises clients on the regulation and operation of registered funds, investment advisers, and fund distributors.

He represents asset managers on a broad range of regulatory and transactional matters involving the organization and operation of open-end funds, closed-end funds, including interval and tender offer funds, exchange-traded funds (ETFs), money market funds, and business development companies (BDCs).

His practice includes advising on:

•fund formation, registration, regulatory filings, examinations, and compliance;

•corporate acquisitions and other strategic transactions, including fund and adviser reorganizations, change-of-control matters, and fund adoption transactions; and

•trading practices, affiliated transactions, valuation, swing pricing, asset custody, proxy voting, SEC exemptive applications, and no-action letter requests.

Jon-Luc has deep experience with money market funds operating under Rule 2a-7 of the Investment Company Act and has helped clients implement product and policy changes in response to regulatory reforms. He is also a frequent author and speaker on money market fund issues.

He also regularly counsels clients on the organization, structuring, compliance, and operation of BDCs, interval funds, and tender offer funds.

In addition, he advises insurance companies on securities law matters relating to variable annuities, variable life insurance products, and separate accounts.

Jon-Luc is an active contributor to the firm’s thought leadership, co-authoring the ESG and the Sustainable Economy Handbook and various publications on SEC regulatory developments. He also contributes annually to the Asset Management Regulatory Year in Review.

Old Gold Rugby Football Club, Boston, MA

“How SEC Money Market Fund Reform Diverges From Proposal,” Law360, 7 August 2023

“Tailored Shareholder Reports,” The Investment Lawyer, January 2023

“Everyone Has an Opinion: Comments on Proposed ESG and Names Rule Reforms and Forecasting the Final Rules,” The Investment Lawyer, November 2022

“What To Know About SEC Shareholder Disclosure Reforms,” Law360, 28 October 2022

"Considerations When Drafting an ESG 80% Policy," IAA Today (Investment Adviser Association), 14 February 2022

"SEC proposes swing pricing for institutional money market funds," Thomson Reuters Westlaw Today, 25 January 2022

M.B.A., Suffolk University Sawyer School of Management (2010 MBA Boardroom Leadership Scholar; International Honors Society of Business)

M.B.A.

2010

Suffolk University Law School

J.D.

2000

Stonehill College (International Economics Honor Society)

B.A.

1995