Amy R. Doberman has more than 25 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory requirements relating to mutual funds and ETFs, wrap programs, retirement products and separate accounts with respect to a wide variety of issues, including registration requirements, trading issues, affiliated transactions, advertising, and product development.
She advises retail broker-dealers and fund complexes on share class and distribution issues, as well as sales practices and due diligence efforts. Ms. Doberman also assists in managing SEC examinations and representing clients in enforcement matters involving investment advisers, mutual funds and ETFs.
Ms. Doberman spent almost seven years at the Securities and Exchange Commission in the Enforcement and Investment Management Divisions, ultimately serving as an Assistant Chief Counsel of the Division of Investment Management.
She also has had extensive in-house experience, serving as general counsel of large asset management firms, and has been active in the Investment Company Institute. Ms. Doberman is currently a member of the NYC Bar Committee on Investment Management Regulation.