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.