Paulita A. Pike

Paulita Pike is a partner in the asset management group. Paulita represents mutual funds or their boards as well as investment advisers and fund service providers throughout the country. She advises her clients on a broad range of issues including:

  • Governance structures and practices;
  • Compliance issues;
  • D&O/E&O matters;
  • Committee structures and functions, communications with the press, self-evaluations and industry “best practices;”
  • Fund service provider contracts and filings with the Securities and Exchange Commission;
  • Fund mergers and “manager-of-managers” arrangements;
  • Regulatory investigations and inquiries;
  • Matters arising from the Investment Company Act of 1940 and the Investment Advisers Act of 1940; and
  • Advising mutual fund managers, investment advisers and fund boards on cybersecurity issues and best practices for data protection.

Paulita is an Adjunct Professor at Notre Dame Law Schooland Northwestern Pritzker School of Law, where she teaches courses, along with Paul Dykstra, on mutual fund regulation.