Mr Brenden P. Carroll > Dechert LLP > Washington DC, United States > Lawyer Profile
Dechert LLP Offices
1900 K STREET, NW
WASHINGTON DC 20006
DISTRICT OF COLUMBIA
United States
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Mr Brenden P. Carroll
Work Department
Financial Services and investment Management
Career
Brenden Carroll represents U.S. registered investment companies and investment advisers in a wide variety of regulatory, transactional and compliance matters. These matters include complex fund merger transactions, the development and launch of new funds, the preparation of registration and proxy statements and seeking exemptive, interpretive and no-action relief (including novel relief) from the U.S. Securities and Exchange Commission (SEC). He also advises boards of directors/trustees of U.S. registered investment companies on fund governance and fiduciary oversight matters.
Mr. Carroll has significant experience with respect to the SEC’s new liquidity risk management rule. He has had major speaking roles on industry panels and has been quoted in the financial press (including Ignites and Compliance Week) with respect to this regulatory initiative.
Mr. Carroll also has extensive experience in matters relating to the SEC’s “pay-to-play” rule, which imposes special restrictions on the political activities of investment advisers that seek to do business with state and local pension plans. He has assisted clients with obtaining exemptive relief from the SEC from the rule’s two-year “time out” provision.
He has also worked on a wide variety of matters on behalf of money market funds operating in accordance with Rule 2a-7 under the Investment Company Act, and was actively involved in advising money market fund clients on the SEC’s money market fund reforms that were adopted in July 2014.
Education
- Georgetown University Law Center, J.D., 2008
- University of Colorado at Boulder, B.A., Economics, 2002
Top Tier Firm Rankings
- Environment > Environment: transactional
- Labor and employment > Employee benefits, executive compensation and retirement plans: transactional
- Antitrust > Civil litigation/class actions: defense
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Dispute resolution > Product liability, mass tort and class action - defense: pharmaceuticals and medical devices
- Real estate > Real estate finance
- Finance > Structured finance: securitization
Firm Rankings
- Media, technology and telecoms > Cyber law (including data privacy and data protection)
- Dispute resolution > Product liability, mass tort and class action - defense: toxic tort
- Dispute resolution > Securities litigation: defense
- Antitrust > Civil litigation/class actions: defense
- Dispute resolution > E-discovery
- Finance > Fintech
- Dispute resolution > General commercial disputes
- Dispute resolution > International litigation
- Healthcare > Life sciences
- Dispute resolution > M&A litigation: defense
- Antitrust > Merger control
- Dispute resolution > Product liability, mass tort and class action - defense: consumer products (including tobacco)
- Finance > Restructuring (including bankruptcy): corporate
- Tax > US taxes: non-contentious
- Finance > Capital markets: debt offerings
- Finance > Capital markets: equity offerings
- Finance > Capital markets: global offerings
- International trade > Customs, export controls and economic sanctions
- Dispute resolution > International arbitration
- Tax > International tax
- Intellectual property > Patents: prosecution (including re-examination and post-grant proceedings)
- M&A/corporate and commercial > Private equity buyouts: large deals ($500m+)
- Investment fund formation and management > Private equity funds (including venture capital)
- Labor and employment > Employee benefits, executive compensation and retirement plans: transactional
- Dispute resolution > Leading trial lawyers
- M&A/corporate and commercial > M&A: large deals ($1bn+)
- Intellectual property > Patents: litigation (full coverage)
- Finance > Capital markets: high-yield debt offerings
- Finance > Commercial lending
- Dispute resolution > Corporate investigations and white-collar criminal defense
- Investment fund formation and management > Alternative/hedge funds
- Dispute resolution > Financial services litigation
- Dispute resolution > Appellate: courts of appeals / Appellate: supreme courts (states and federal)