Domenick Pugliese

Dom has broad, in-depth experience regarding all aspects of Investment Company Act and Investment Advisers Act regulation. He counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies, and dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds and variable annuity trusts.

Dom views his role as a multi-faceted one. Not only does he counsel boards on their statutory and regulatory obligations, but he also ensures that boards understand how to represent the best interests of shareholders. He coordinates Executive Sessions so that independent trustees can ask questions and set strategic priorities. Between meetings, Dom fields questions regarding independent trustees’ duties and responsibilities and fund operation. Chief compliance officers rely on Dom’s advice, and he often serves as a liaison between CCOs and their boards.

Before entering private practice, Dom was a deputy general counsel for Alliance Capital and in-house counsel at Prudential Mutual Fund Management.