Ashley N. Rodriguez

Ashley Rodriguez counsels investment advisers and other financial institutions in regulatory, corporate and compliance matters. Ms. Rodriguez advises clients on a variety of issues related to formation of new advisers, changes in control, registrations, regulatory filings, compliance policies and procedures, investment advisory agreements, marketing and disclosure obligations. She also routinely assists clients with questions related to their eligibility to file or register with the SEC, including non-US clients. Ms. Rodriguez regularly counsels advisers to private funds, advisers providing electronic investment advice, quantitative asset managers, managers specializing in alternative asset classes such as collateralized loan obligations (CLOs) and real estate and managers trading in derivatives. She also has extensive experience representing clients in SEC examinations and experience seeking exemptive and no-action relief, including novel relief, from the SEC staff.

Prior to joining Dechert, Ms. Rodriguez served as an associate in another international law firm, where she assisted with the tax aspects of corporate transactions, municipal finance and nonprofit organizations. Her previous experience also includes working as a legal intern in the fraud section of the U.S. Department of Justice, Criminal Division as well as in the asset management unit of the U.S. Securities & Exchange Commission, Division of Enforcement. Prior to law school, Ms. Rodriguez worked for more than five years in financial services for a quantitative investment adviser and held a Series 6 FINRA license to sell Mutual Funds and Variable Annuities. She also served on the board of a corporate foundation that sought to end and alleviate the effects of genocide primarily through international granting.