Catherine A. DiValentino

Registered Funds

Catherine's work encompasses the day-to-day operations of investment products as well as significant transactions and other events throughout a fund's life cycle. She counsels investment companies, including multi-series trusts, on various regulatory and corporate matters, including fund launches and registrations, SEC filings, regulatory examinations and investigations, compliance programs, reorganizations and mergers within and outside fund complexes, closed-end fund tender offers, and shareholder proxy and information statements. She also advises on the application and interpretation of securities laws and prepares exemptive applications seeking SEC relief.

Investment Advisers

Catherine also works directly with investment advisers on issues related to the Investment Advisers Act of 1940 and other federal securities and general business laws. She assists advisers on matters related to supervision of sub-advisers, Securities and Exchange Commission inspections, mergers and acquisitions, regulatory filings, and compliance programs.

Private Funds

Catherine advises private funds on formation, operations, and related corporate matters. She drafts and negotiates private offering memoranda and related partnership and other agreements.

Fund Governance

She counsels fund boards and their members on governance, fiduciary duties, compliance policies and procedures, and industry best practices. Catherine advises boards during meetings and helps them address regulatory, operational, and governance matters requiring board consideration.

In-House Experience

Clients benefit from Catherine's in-house perspective. She spent four years as associate general counsel supporting registered fund and private fund operations at Nomura Asset Management and Macquarie Asset Management. Catherine led the launch of Nomura Asset Management–Americas' first ETF offering and served as general counsel to the ETFs. She also headed the insurance program for the adviser and its related registered and unregistered fund products.

Personal Interests

In her free time, Catherine enjoys running, yoga, and spending time with her family and many dogs.