Jon-Luc Dupuy is a partner in the firm’s Boston office where he’s a member of the investment management practice group.
Jon-Luc has 20 years of experience in the asset management industry, advising open-end investment companies, closed-end investment companies (including interval and tender offer funds), exchange-traded funds, money market funds, business development companies (BDCs), boards, investment advisers and fund distributors.
He counsels clients on a wide range of regulatory, compliance, transactional, and operational matters including:
- Counseling advisers and funds on issues relating to fund organization, registration, regulatory filings, inspections and compliance;
- 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; and
- 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.
Jon-Luc regularly advises money market fund clients on Rule 2a-7 compliance matters as well as alternative asset managers on BDC formation and compliance. He has also 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.
Prior to joining the firm, Jon-Luc was Vice President and Senior Counsel for State Street Corporation assisting registered investment companies, BDCs, and other pooled investment vehicles on regulatory, compliance, transactional, and operational matters.
Prior to his work at State Street, Jon-Luc served as Vice President and Assistant General Counsel for an insurance company subsidiary of Goldman Sachs. In this role, Jon-Luc 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.
Jon-Luc 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.
- Good Shepherd School, Charlestown, MA - Director
- Best Buddies Massachusetts - Advisory Board Member
- Old Gold Rugby Football Club, Boston, MA
- “Tailored Shareholder Reports,” The Investment Lawyer, January 2023
- “Everyone Has an Opinion: Comments on Proposed ESG and Names Rule Reforms and Forecasting the Final Rules,” The Investment Lawyer, November 2022
- “What To Know About SEC Shareholder Disclosure Reforms,” Law360, 28 October 2022
- "Considerations When Drafting an ESG 80% Policy," IAA Today (Investment Adviser Association), 14 February 2022
- "SEC proposes swing pricing for institutional money market funds," Thomson Reuters WestLaw Today, 25 January 2022
- Mentioned, “Highlights of This Issue,” The Investment Lawyer, 1 January 2023
- Alert mentioned, "Money Market Funds Proposal Highlights," Mutual Fund Directors Forum, 1 February 2022.