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- Advising funds and their boards on the legal issues relating to advisory and Rule 12b-1 fees and distribution arrangements. He also advises on fund governance, conflicts and general fiduciary duty issues, and director and officer liability insurance issues.
- 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, closed-end fund discount and activist issues, and negotiation of contracts.
- 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.
- Counseling funds, their boards, and advisers and distributors on corporate matters, regulatory compliance, inspections and enforcement, litigation and arbitration matters.
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- Enterprise Risk Oversight: This Year’s News and the Related Risks — Independent Directors Council’s 2018 Fund Directors Forum, Washington D.C. (October 16, 2018)
- Board Oversight of Investment Risk — Mutual Fund Directors Forum Policy Conference, Washington, D.C. (April 20-21, 2017)
- Registered Funds Track — 2016 San Francisco Investment Management Symposium, San Francisco, CA (November 9, 2016)
- 2016 Independent Counsel Roundtable — Presented by the Independent Directors Council, Washington, D.C. (July 20, 2016)
- Systemic Risk & Asset Management: How FSOC Designation, Greater Prudential Regulation and Risk Management Will Impact the Business & Its Regulators — 2015 San Francisco Investment Management Symposium, San Francisco, CA (December 9, 2015)
- Product Council Roundtable — Mutual Funds Education Alliance, Chicago, IL (September 28, 2015)
- The SEC on Board Self-Evaluations — 2015 Policy Conference presented by the Mutual Fund Directors Forum, Washington, D.C. (April 9, 2015)
- Navigating the New Regulatory Structure Governing Money Market Funds — Dechert LLP, Webinar (April 8, 2010)
- Fund-Linked Derivatives -Panel I — Securities Industry and Financial Markets Association's Hedge Funds & Alternative Investments Summit and Exposition, New York, NY (June 17, 2008)
- Understanding the SEC’s Proposed Changes to Form ADV Part II — Dechert LLP, Webinar (April 29, 2008)
- Regulatory Changes in the United States Hedge Fund Market - Recent Development and Capital Raising Opportunities for Hong Kong Hedge Fund Managers“ — The Alternative Investment Management Association (AIMA), Hong Kong (January 18, 2007)
- Soft Dollars — IAA Compliance Workshops, Los Angeles, CA (November 16, 2006)
- Strategies for Risk Assessment, Monitoring and Testing, and Creating a Compliance Calendar — 2005 IAA Compliance Workshops, Los Angeles, CA (November 15, 2005)
- The New Hedge Fund Adviser Registration Requirements in the USA: What They Mean For Hong Kong Managers — AIMA Hong Kong Chapter Luncheon Talk, Hong Kong (January 13, 2005)
- Recent Issues in Financial Services — Investment Company Institute's Mutual Funds Conference, Palm Desert, CA (April 1, 2003)
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- Advisory Board, BoardIQ
- Independent Counsel Roundtable Advisory Committee Member, Independent Directors Council (IDC)
- Member of Editorial Board, The Investment Lawyer
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douglas.dick@dechert.com
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+1 202 261 3305
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+1 949 442 6010
- vCard
Office
Washington, D.C.
1900 K Street, NW, Washington, DC, United States of America 20006-1110-
+1 202 261 3305
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+1 202 261 3333
Education
- American University, B.A., 1990, cum laude
- Georgetown University Law Center, J.D., 1995, cum laude
Admission
- District of Columbia
- California
- Maryland