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Jon-Luc Dupuy

Of Counsel
Fax +1.617.261.3175

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.

Professional Background

Prior to joining the firm, Mr. Dupuy was Vice President and Senior Counsel for State Street Corporation assisting State Street Fund Administration as well as clients of State Street that offer registered investment companies, BDCs, and other pooled investment vehicles.

Prior to his work at State Street, Mr. Dupuy served as Vice President and Assistant General Counsel for an insurance company subsidiary of Goldman Sachs. In this role, Mr. Dupuy advised the company and its affiliates in all matters relating to licensing, state insurance matters, broker-dealer regulation, variable product filings, compliance, board governance, mergers and acquisitions, and co-insurance and reinsurance transactions.

Mr. Dupuy has also served as in-house counsel to Pioneer Investments and Manulife Financial focusing on issues related to registered investment companies, variable products, and corporate governance.

Mr. Dupuy began his career working in operations and compliance at Manulife Financial.

Professional/Civic Activities

  • Good Shepherd School, Charlestown, MA - Director
  • Best Buddies Massachusetts - Advisory Board Member
  • Old Gold Rugby Football Club, Boston, MA - Trustee