Gwen Williamson
Gwen Williamson represents registered investment companies and their independent directors, as well as investment advisers, family offices, and nonprofit organizations. She advises clients on governance and compliance responsibilities under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Gwen has significant experience in the ESG and principles-based investing space.
Representative matters across Gwen’s more than 15 years of experience in the asset management industry include counseling clients on the following:
- Fund launches, mergers, and liquidations
- Compliance and business matters related to social impact and environmental, social, and governance (ESG) investing
- Compliance programs, vendor oversight programs, and annual compliance and risk assessments
- U.S. Securities and Exchange Commission (SEC)examinations and investigations
- Cybersecurity and privacy
- Changes in control
- Applications for exemptive relief
- The family office exemption
- Reporting under the federal securities laws
- Annual Section 15(c) contract renewals
- Business development companies
An active speaker and writer, Gwen serves on the editorial board of The Investment Lawyer.
Recent pieces Gwen has authored cover approaches to exchange-traded fund (ETF) governance, the ESG standards gap in the United States and the evolution of mutual fund distribution arrangements.
In recent webinars Gwen has addressed socially responsible investing trends and the use of artificial intelligence in the asset management industry.
Gwen also maintains an active governance-focused pro bono practice.