Corey F. Rose has more than 15 years of experience advising investment funds (including mutual funds, exchange-traded funds, and closed-end funds) and their independent directors, investment management companies, banks, insurance companies, and other financial institutions on a wide variety of matters including ongoing corporate governance, regulatory compliance, public filings, shareholder meetings, contract negotiations, fund reorganizations, product development, and seeking exemptive, interpretive and no-action relief from the U.S. Securities and Exchange Commission or its staff.

In addition, as the leader of Dechert’s bank regulatory practice, Mr. Rose counsels clients on the application of laws and regulations administered by the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration, the U.S. Treasury, the Financial Stability Oversight Counsel, and state regulatory agencies, among others. Mr. Rose advises on issues including organizational structure, ownership and control, affiliated transactions, and non-banking activities. He regularly advises clients regarding the application of the Bank Holding Company Act and the Volcker Rule to US and foreign companies, including investment funds.

Prior to joining Dechert, Mr. Rose was a trial attorney in the Enforcement and Compliance Division of the OCC in Washington, D.C.

    • WFF US: Proposed Capital Regs: The Overhaul, Obstacles and Opportunities for Fund Finance — Women in Fund Finance 2nd Annual Fall event by the Fund Finance Associate, Charlotte, NC (October 18, 2023)
    • Board Perspectives — ICI, 2023 Tax and Accounting Conference, San Antonio, TX (September 20, 2023)
    • The Pain of the Name Game and Dead Reckoning: Where Are We and Where Are We Headed? — ICI 2022 Securities Law Developments Conference, Virtual (October 11 and 13, 2022)
    • Challenges for Fund Boards in Light of COVID-19 — The Mutual Fund Directors Forum, Webinar (March 27, 2020)
    • Accessing the US Market Using 1940 Act Funds — Dechert LLP, Webinar (July 14, 2017)
    • Accessing the US Market Using 1940 Act Funds — Hong Kong (November 23, 2016)
    • The Volcker Rule: Adjusting to a New Landscape — Regulatory Compliance Association, Webcast (June 12, 2014)
    • Current Developments Affecting the Fund Industry — Dechert LLP, Orlando, FL (March 18, 2014)
    • The Volcker Rule: Understanding the Practical Implications for Funds and Asset Managers — Dechert LLP, London, UK (March 11, 2014)
    • Living with the Volcker Rule: Volcker Rule Impacts on Asian Asset Managers — Dechert LLP, Webinar (February 20, 2014)
    • Delivering Your Investment Management Expertise — CFA North Carolina Society Program, Winston Salem & Raleigh, NC (May 13, 2009)