Doberman_Amy

Amy R. Doberman

Download IconDownload Print IconPrint
Doberman_Amy

Amy R. Doberman

Partner

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

Amy Doberman has more than 25 years of experience providing legal advice to asset management and wealth management clients. She counsels investment advisers on regulatory requirements relating to mutual funds and ETFs, wrap programs, retirement products and separate accounts with respect to a wide variety of issues, including registration requirements, trading issues, affiliated transactions, advertising, and product development. She advises retail broker-dealers and fund complexes on share class and distribution issues, as well as sales practices and 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 is currently a member of the NYC Bar Committee on Investment Management Regulation.

Recognition

  • Selected by her peers for inclusion in the 2019–2023 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