James V. Catano has extensive experience counseling mutual fund complexes, investment advisers and insurance companies on a wide range of securities, regulatory, corporate, disclosure, transactional, and other financial services matters.  These matters include complex fund reorganization transactions, the preparation of registration and proxy statements, ongoing compliance and regulatory matters, and seeking exemptive, interpretive and no-action relief from the U.S. Securities and Exchange Commission or its staff. Mr. Catano also advises clients on the development, regulation, sale and administration of a variety of investment products, including open-end and closed-end mutual funds, money market funds, exchange-traded funds, and variable and fixed life insurance and annuity products.  In addition, he advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary matters.

Prior to joining Dechert, Mr. Catano served as an associate in the investment management practice group of another international law firm. He also served as a law clerk at the U.S. Securities and Exchange Commission and U.S. Commodity Futures Trading Commission and as a legal and regulatory policy fellow at the U.S. Chamber of Commerce.

    • SEC Takes a Swing at New Money Market Fund Reforms — The Mutual Fund Directors Forum, Webinar (March 10, 2022)
    • Cryptocurrency and Blockchain Developments for Closed-End Funds — Investment Company Institute's Virtual Closed-End Fund Conference (November 10, 2021)
    • Money Market Funds: Regulators Primed for Further Reforms — The Mutual Fund Directors Forum, Webinar (July 15, 2021)
    • Money Market Funds – Managing Stress — Dechert LLP, Webinar (March 24, 2020)
    • Howey' Doing in the World of Securities Regulation? Rulemaking, Examination, Enforcement,and Litigation Developments and Priorities — The Insured Retirement Institute's ACTION19, Washington D.C. (May 17, 2019)
    • Beyond-MMF Investment Options: S-T and Ultra S-T Bond Funds — iMoneyNet's 21st Annual Money Market Expo, Middleburg, VA (March 5, 2019)
    • Board Oversight of Variable Product Funds — The Mutual Fund Directors Forum, Webinar (November 7, 2018)
    • Federal Regulatory Trends Affecting Variable Products and Underlying Funds — The Insured Retirement Institute's ACTION18, Washington D.C. (May 9, 2018)
    • DC Bar Association
    • United States Securities and Exchange Commission, Commissioner Maureen K. Ohlhausen
    • United States Commodity Futures Trading Commission, Commissioner Maureen K. Ohlhausen