Overview

Domenick Pugliese has broad, in-depth experience regarding all aspects of Investment Company Act and Investment Advisers Act regulation. Dom counsels all types of investment companies, including mutual funds, closed-end funds, exchange-traded funds, and business development companies. He dedicates a substantial portion of his practice to advising independent trustees and directors of mutual funds and variable annuity trusts. For Dom, representing independent trustees of investment companies is not a side business.

Dom views his role as a multi-faceted one. Not only does he counsel boards on their statutory and regulatory obligations, but he also ensures that boards understand how to represent the best interests of shareholders. He coordinates Executive Sessions so that independent trustees can ask questions and set strategic priorities. Between meetings, Dom fields questions regarding independent trustees’ duties and responsibilities and fund operation. Chief compliance officers rely on Dom’s advice, and he often serves as a liaison between CCOs and their boards.

Before entering private practice, Dom was a deputy general counsel for the Alliance Mutual Funds and in-house counsel to the Prudential Mutual funds.

  • Credentials

    Education

    • George Washington University Law School, J.D., 1986, with honors
      George Washington University Law Review, member
    • State University of New York Binghamton, B.S., Political Science and Spanish Literature and Composition, 1983

    Bar Admissions

    • New York

            Professional Memberships

            • New York State Bar Association
            • New York City Bar Association, Investment Companies Committee
          • Insights

            TITLE
            News Release

            61 Schiff Attorneys Named to 2019 Best Lawyers in America List and Six Recognized as “Lawyer of the Year”

            Schiff Hardin is pleased to announce that 61 attorneys have been included in the 2019 edition of The Best Lawyers in America, as well as six who were named a “Lawyer of the Year” in their respective areas of practice.

            Alert

            Decoding the SEC Rulemaking Package on Standards of Conduct for Investment Professionals

            On April 18, 2018, the Securities and Exchange Commission (SEC) concurrently issued three releases, all related to standards of conducts for investment professionals (“Rulemaking Package”).

            News Release

            Chambers USA 2018 Recognizes Four Practice Areas and 22 Attorneys

            Schiff Hardin is pleased to announce that four practice areas and 22 attorneys have been recognized in the 2018 edition of Chambers USA, a leading legal industry ranking.

            In The News
            News Release

            Partner Domenick Pugliese Shortlisted for Independent Counsel of the Year

            Schiff Hardin is pleased to announce that Partner Domenick Pugliese has been shortlisted for the 2018 Mutual Fund Industry Awards Independent Counsel of the Year.

            News Release

            Schiff Hardin Lawyers Named to 2018 The Best Lawyers in America

            Schiff Hardin is pleased to announce that five attorneys have been named a “Lawyer of the Year” in the 2018 edition of The Best Lawyers in America©.

            Event

            New SEC Liquidity Rules and Report Modernization

            U.S. Bancorp 2017 Client Conference

            Location:
            Lake Geneva, Wisc.
            News Release

            Chambers USA 2017 Recognizes 20 Schiff Hardin Attorneys and 4 Practice Areas

            Schiff Hardin is pleased to announce that 20 attorneys and four practice areas were recognized in the 2017 edition of Chambers USA, a leading legal industry ranking.

            Other Publications

            • "Fund Boards in the Cross Hairs – Increased Litigation and Enforcement Action Relating to Advisory Fees," Bloomberg Securities Regulation & Law Reports (Mar. 2014)
            • "Shaking up Governance to Meet the Future," Board IQ (May 2014)
            • "What Boards Can Learn From the Morgan Keegan Case," Law360 (Apr. 2013)
            • "Practical Considerations for Investment Advisers in Dealing with Trading Conflicts," PLI Investment Advisor Regulations (Chapter 18)
            • "The Role of the Investment Adviser Chief Compliance Officer," PLI Investment Advisor Regulation (Chapter 10)
            • "The Role of the Investment Company Chief Compliance Officer," PLI Mutual Fund Regulation (Chapter 26B)
            • "Revised FINRA Rules Regarding Communications with the Public," Bloomberg Securities Regulation & Law Reports (Vol. 44, No. 21, May 2012)
            • "Rule 12b-l: A Look at the Past, Present and Future," Journal of Investment Compliance (Vol. 8, No. 2)
            • "The Evolution of the Exchange Traded Fund," Journal of Investment Compliance (Vol. 7, No. 3)
            • "The Investment Company Chief Compliance Officer," Journal of Investment Compliance (Vol. 17, No. 4)

            Speeches & Presentations

            • “New SEC Liquidity Rules and Report Modernization,” U.S. Bancorp 2017 Client Conference, Lake Geneva, Wisc. (Jun. 8, 2017)
            • “Portfolio Compliance in an Evolving Investment Environment,” ICI General Membership Meeting, Washington, D.C. (2015)
            • “Industry Regulatory Update,” US Bank Client Conference, Milwaukee, Wisc. (2015)
            • Investment Company Institute, Independent Director Counsel Roundtable, Advisory Board, Washington, D.C. (2008-present)
            • “Current Topics for Fund Boards,” 2104 Mutual Funds and Investment Management Conference, Palm Desert, Calif. (Mar. 2014)
            • Independent Directors Conference, Operational Risk Oversight, Washington, D.C. (2012)
            • Independent Directors Conference, Practices of Effective Boards, Washington, D.C. (2009)