Rachael has over 15 years’ experience counseling registered investment companies (including mutual funds, exchange-traded funds and closed-end funds) and their boards regarding all aspects of the 1940 Act and related securities laws relevant to funds and independent directors, including with respect to Section 15(c) contract approvals and renewals, oversight of multi-manager and sub-advisory relationships, disclosure issues, fund governance, ESG matters, cybersecurity and the launch and reorganizations of funds and fund complexes. She also helps clients develop policies and procedures in connection with new SEC rules and regulations, as well as advise independent directors on their duties and responsibilities related to these new rules.

Representative Client Work

  • Serves as Trust and Board counsel to a number of multiple series trusts, providing all services required, including but not limited to, annual fund registration updates, fund reorganizations, proxies, mutual fund to ETF conversions and assistance with implementation of new SEC rules
  • Serves as Board counsel to the Independent Trustees of a large manager of managers fund group, whose mutual funds are investments for insurance company separate accounts. In this regard, assist the Board in meeting their duties and responsibilities under the 1940 Act
  • Serves as Trust counsel to an ETF complex, providing all services required, including but not limited to, all matters relating to the organizational meeting, fund launches, and ongoing matters

Bar & Court Admissions

  • New York

Education

  • J.D., Washington University School of Law
  • M.B.A., Duke University Fuqua School of Business
  • B.A., cum laude, Wellesley College

Community Engagement

  • American Bar Association

Awards & Honors

  • Chambers USA (2019)

Practices

Industries

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