Stephanie Capistron

Practice Areas

Stephanie A. Capistron advises U.S. registered investment companies and their investment advisers on a wide variety of regulatory, compliance and corporate matters, including the development and launch of new funds, regulatory and compliance matters relating to existing funds, fund reorganizations and requests for exemptive relief from the SEC. Ms. Capistron also regularly provides advice on affiliated transaction matters under the Investment Company Act of 1940. Ms. Capistron has significant experience assisting mutual fund sponsors launch exchange-traded fund business lines, including advice on fund structure, disclosure and listing requirements, and development of compliance programs for exchange-traded funds. She also advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary oversight matters, including director/trustee independence and regulatory examinations.