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Dechert LLP

ONE INTERNATIONAL PLACE, 40TH FLOOR, 100 OLIVER STREET, BOSTON, MA 02110-2605, USA
Tel:
Work +1 617 728 7100
Fax:
Fax +1 617 426 6567
Email:
Web:
www.dechert.com

Stephanie A. Capistron

Tel:
Work +1 617 728 7127
Email:
Dechert LLP

Work Department

Financial Services and Investment Management

Career

Stephanie A. Capistron advises U.S. registered investment companies and their investment advisers on a wide variety of regulatory, compliance and corporate matters, including the development and launch of new funds, regulatory and compliance matters relating to existing funds, fund reorganizations and requests for exemptive relief from the Securities and Exchange Commission. Ms. Capistron also regularly provides advice on affiliated transaction matters under the Investment Company Act of 1940.

Ms. Capistron has significant experience assisting mutual fund sponsors launch exchange-traded fund business lines, including advice with respect to fund structure, disclosure and listing requirements, and development of compliance programs for exchange-traded funds.

She also advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary oversight matters, including director/trustee independence and regulatory examinations.

Education

  • Providence College, B.A., 2005, summa cum laude
  • Boston College Law School, J.D., 2008, magna cum laude


United States: Investment fund formation and management

Mutual/registered/ exchange-traded funds

Within: Mutual/registered/ exchange-traded funds

Dechert LLP's 'practical and pragmatic' team is in 'a class of its own when it comes to registered funds'. The group is 'able to handle a myriad of issues and can martial experts who know the law in various jurisdictions'. Based in the New York office, Allison Fumai ('a rock star' with 'deep knowledge of the ETF industry'), Richard Horowitz, Jeremy Senderowicz and Stuart Strauss provide ongoing advice to Morgan Stanley's mutual and closed-end funds. In Washington DC, Robert Helm is 'a true business consigliere', Douglas Dick is 'thoughtful and pragmatic', and Thomas Bogle is 'intelligent, astute and very responsive'; Brenden Carroll and Stephen Cohen are also key contacts. Boston-based John O’Hanlon advises a large mutual fund complex on regulatory issues and ETF launches. Stephanie Capistron, Christopher Harvey, Geoffrey Kenyon and Christopher Christian are also key names in the Boston office. Harvey and Helm jointly lead the practice. Other clients include MainStay Funds and Deutsche Bank ETFs.

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