FacultyFaculty/Author Profile
Alison M. Fuller

Alison M. Fuller

Stradley Ronon Stevens & Young LLP

Washington, DC, USA


Alison Fuller regularly counsels investment companies, investment advisers and independent trustees on federal and state securities law matters.

Some of the matters on which Alison has assisted clients include:

  • launch and creation of board oversight techniques for funds using derivatives and alternative investment strategies
  • §obtaining no-action, interpretive and exemptive relief from the Securities and Exchange Commission and its staff
  • developing compliance programs, including regarding asset segregation and the treatment of derivatives
  • derivatives, valuation and other mock audits

Alison worked at the U.S. Securities and Exchange Commission for 10 years, including eight years as Assistant Chief Counsel in the Division of Investment Management.

While at the SEC, Alison worked on more than 80 substantive no-action letters and helped develop key positions on matters involving the investment management industry, including:

  • affiliated transactions involving funds (e.g., redemptions and purchases in kind)
  • the status of unique investment products and commodity pools as investment companies
  • assignments of advisory contracts

Alison also represented the Division of Investment Management on IOSCO’s Standing Committee 5, which addresses the regulation of investment companies in the global markets.

RECOGNITIONS

  • Chambers USA: America's Leading Lawyers for Business, listed for nationwide investment funds: registered funds
    • Chambers noted that clients praised Alison for being “very personable” and “able to quickly and effectively analyze and solve difficult legal issues”
  • The Best Lawyers in America
  • Award for supervisory excellence while at SEC
  • SEC’s Capital Markets Award as a member of the Asset-Backed Securities Rulemaking Team and as a member of the Sept. 11, 2001 Recovery Team
Alison M. Fuller is associated with the following items:
Web Segment  Web Segment Alternative Global Investment Vehicles and Derivatives Regulation - Global Capital Markets & the U.S. Securities Laws 2017, Thursday, April 20, 2017
MP3 Audio  MP3 Audio Alternative Global Investment Vehicles and Derivatives Regulation - Alternative Global Investment Vehicles and Derivatives Regulation, Thursday, April 20, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Alternative Global Investment Vehicles and Derivatives Regulation - Alternative Global Investment Vehicles and Derivatives Regulation, Thursday, April 20, 2017
On-Demand Web Programs  On-Demand Web Programs Global Capital Markets & the U.S. Securities Laws 2017, Tuesday, April 25, 2017, New York, NY
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