Jon-Luc Dupuy is a partner in the firm’s Boston office where he’s a member of the investment management practice group.
Jon-Luc has 20 years of experience in the asset management industry, advising open-end investment companies, closed-end investment companies (including interval and tender offer funds), exchange-traded funds, money market funds, business development companies (BDCs), boards, investment advisers and fund distributors.
He counsels clients on a wide range of regulatory, compliance, transactional, and operational matters including:
- Counseling advisers and funds on issues relating to fund organization, registration, regulatory filings, inspections and compliance;
- Representing funds, their boards and advisers in corporate acquisitions and transactional matters, fund and adviser reorganizations and change of control matters, and fund adoption transactions; and
- Advising funds, their boards and advisers on matters related to trading practices, affiliated transaction issues, asset custody, proxy voting policies and issues, SEC no-action and exemptive relief.
Jon-Luc regularly advises money market fund clients on Rule 2a-7 compliance matters as well as alternative asset managers on BDC formation and compliance. He has also advised insurance companies on securities law issues relating to the investment products they offer, including variable annuities, variable life insurance and the separate accounts that are used to fund them.
