Rachael Schwartz

Rachael has over 18 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. Rachael counsels registered investment companies and their boards on all relevant matters, 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. · Sullivan & Worcester LLP

United StatesInvestment Management, Securities

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About

Rachael Schwartz has over 18 years of experience counseling registered investment companies and their boards on the Investment Company Act of 1940 and related securities laws, including fund governance, ESG, cybersecurity, and fund reorganizations.

Practice areas

Investment ManagementSecurities

Office

United States

Sullivan & Worcester LLP · Rachael has over 18 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. Rachael counsels registered investment companies and their boards on all relevant matters, 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.

United States

Expertise

Section 15(c) contract approvals and renewalsOversight of multi-manager and sub-advisory relationshipsDisclosure issuesFund governanceESG mattersCybersecurityLaunch and reorganizations of funds and fund complexesPolicy and procedure development for SEC rules

Education

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

Admissions

New York