Doberman_Amy

Amy R. Doberman

Doberman_Amy

Amy R. Doberman

Partner

New York + 1 212 295 6270
+ 1 301 997 6324

Amy Doberman has more than 30 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory issues relating to mutual funds and ETFs, wrap programs, retirement products and separate accounts, including registration requirements, trading issues, affiliated transactions, marketing, and product development. She advises retail broker-dealers and dual registrants on sales practices, revenue sharing arrangements, and manager due diligence efforts. Ms. Doberman also assists in managing SEC examinations and representing clients in enforcement matters involving investment advisers, mutual funds and ETFs. 

Ms. Doberman spent almost seven years at the Securities and Exchange Commission in the Enforcement and Investment Management Divisions, ultimately serving as an Assistant Chief Counsel of the Division of Investment Management. She also has had extensive in-house experience, serving as general counsel of large asset management firms, and has been active in the Investment Company Institute. Ms. Doberman also served for several years as a member of the NYC Bar Committee on Investment Management Regulation.

Recognition

  • Selected by her peers for inclusion in the 2019–2026 editions of Best Lawyers in America for her mutual funds law practice.

Insights & News

View all of Amy's insights & news

Credentials

  • Education

    • JD, New York University School of Law, 1986

    • BA, Government, Cornell University, 1983

      magna cum laude

  • Admissions

    • New York

    • District of Columbia

    • Connecticut

  • Government Experience

    • Securities and Exchange Commission

      Division of Investment Management

      Assistant Chief Counsel

    • Securities and Exchange Commission

      Division of Enforcement

      Attorney

Credentials

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