Douglas P. Dick has 20 years of experience in the asset management industry, advising open- and closed-end investment companies, exchange-traded funds, money market funds, offshore funds, private investment funds, independent trustees, investment advisers and fund distributors. He counsels clients in a wide range of regulatory, corporate, compliance and business matters.
Mr. Dick has authored numerous publications and articles in the asset management field, and has participated in industry group panels and educational events. Mr. Dick also spent seven years working out of Dechert’s Orange County office, helping to establish the firm’s west coast presence.
Mr. Dick has been recognized in The Legal 500 (US) in the area of mutual/registered funds. Mr. Dick serves as managing partner of the firm’s Washington, D.C. office.
EDUCATION :
- American University, B.A., 1990, cum laude
- Georgetown University Law Center, J.D., 1995, cum laude
ADMISSIONS :
- District of Columbia
- California
- Maryland
EXPERIENCE :
- Advising funds and their boards on the legal issues relating to advisory and Rule 12b-1 fees and distribution arrangements. He also advises on fund governance, conflicts and general fiduciary duty issues, and director and officer liability insurance issues.
- 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, closed-end fund discount and activist issues, and negotiation of contracts.
- 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.
- Counseling funds, their boards, and advisers and distributors on corporate matters, regulatory compliance, inspections and enforcement, litigation and arbitration matters.
Cost
Rate : $$$
