Investment fund formation and management • United States
Sullivan & Worcester LLP
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Rachael Schwartz
Sullivan & Worcester LLP, United States
- Phone212-660-3069
- Email[email protected]
- Social
Work Department
Investment Management
Position
Rachael has over 15 years’ experience counseling registered investment companies (including mutual funds, exchange-traded funds and closed-end funds) and their boards regarding all aspects of the 1940 Act and related securities laws relevant to funds and independent directors, including with respect to Section 15(c) contract approvals and renewals, oversight of multi-manager and sub-advisory relationships, disclosure issues, fund governance, ESG matters, cybersecurity and the launch and reorganizations of funds and fund complexes. She also helps clients develop policies and procedures in connection with new SEC rules and regulations, as well as advise independent directors on their duties and responsibilities related to these new rules.
Career
Bar & Court Admissions
New York
Memberships
American Bar Association
New York City Bar Association, Regulation of Investment Management Committee
Education
Washington University School of Law (J.D.)
Duke University Fuqua School of Business (M.B.A.)
Wellesley College (B.A., cum laude)