Stacy L. Fuller - K&L Gates

Stacy L. Fuller

Listed in Best Lawyers since 2013
Phone: 202-778-9475

Stacy L. Fuller is a member of the firm’s Investment Management practice group. Her focus is on serving the needs of registered investment companies and, in particular, exchange-traded funds (ETFs) and funds of funds. Ms. Fuller joined the firm in 2007 from the U.S. Securities and Exchange Commission (SEC), where she had been a branch chief in the Division of Investment Management (Exemptive Applications) and an attorney in the Office of General Counsel (Office of Legal Policy).

At the firm, Ms. Fuller focuses her practice on representing sponsors, boards and trustees of ETFs, including transparent actively managed ETFs, index-based ETFs and leveraged ETFs, and sponsors, boards and trustees of mutual fund umbrella trusts. She also advises ETF and mutual fund sponsors on routine and novel exemptive applications, including applications for non-transparent actively managed ETFs. As part of her practice, Ms. Fuller provides advice on routine regulatory, disclosure and compliance issues, including, most significantly, affiliation issues, advisory agreement assignments, investments through CFCs, recently enacted swap regulations adopted by the SEC pursuant to Dodd-Frank and compliance with the disqualification and waiver provisions of the Investment Company Act. In 2012, Ms. Fuller was one of the leading U.S. lawyers for investment management by Chambers USA, based on the views of clients, peers and other industry professionals.

At the SEC, in the Division of Investment Management, Ms. Fuller oversaw the review of multiple exemptive applications for ETFs, including actively managed ETFs, unaffiliated and affiliated index-based ETFs, closed-end fund conversions to ETFs and funds of funds, including funds of ETFs. In the Office of General Counsel, Ms. Fuller focused on investment management and auditor independence issues, drafting portions of the 2000 amendments to the auditor independence rule in Regulation S-X.

Amherst CollegeBA University of Virginia School of LawJ.D.

Case History

Other Court Admissions
  • United States Court of Appeals for the Fourth Circuit

Office Location

1601 K Street, NW
Washington, DC 20006-1600
United States

Practice Areas

Mutual Funds Law

Other Information