Jon-Luc Dupuy is of counsel in the firm’s Boston office where he’s a member of the Investment Management practice group.
Mr. Dupuy represents and advises clients on a wide variety of issues under the Investment Company Act, the Investment Advisers Act, fund-related issues under the Securities Act and Exchange Act, as well as NYSE regulation.
Mr. Dupuy’s practice includes a broad spectrum of regulatory, transactional, and operational matters including:
- Counseling fund complexes on issues relating to registration, proxy statements, mergers and reorganizations;
- Advising funds and advisers on regulatory and compliance issues impacting Rule 2a-7 money market funds, open and closed-end investment companies, and business development companies (BDCs); and
- Advising companies on exemptive applications and no-action letter requests to the Securities and Exchange Commission.
Mr. Dupuy also has 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.