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, he focuses on the intersection of banking and investment management activities and regulation.

Mr. Rose is also a member of the firm’s anti-money laundering practice and counsels financial institutions on compliance with federal anti-money laundering laws and regulations as well as economic and trade sanctions.

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

    • 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)