Amy Doberman

Amy Doberman has more than 30 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory issues relating to mutual funds and ETFs, wrap programs, retirement products and separate accounts, including registration requirements, trading issues, affiliated transactions, marketing, and product development. She advises retail broker-dealers and dual registrants on sales practices, revenue sharing arrangements, and manager due diligence efforts. Ms. Doberman also assists in managing SEC examinations and representing clients in enforcement matters involving investment advisers, mutual funds and ETFs.