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Jon-Luc Dupuy

Counsel
+1.617.261.3146
Fax +1.617.261.3175
Jon-Luc Dupuy is a counsel in the firm’s Boston office where he’s a member of the Investment Management practice group.
His practice focuses on a wide variety of issues under the Investment Company Act, the Investment Advisers Act, fund-related issues under the Securities Act and Exchange Act, as well as NYSE regulation.

Mr. Dupuy has extensive experience with a wide variety of fund structures including open-end and closed-end investment companies, and business development companies.

He has advised clients on a broad range of issues including product development, product rationalization, organizational matters, mergers, liquidations, exemptive relief, the development and maintenance of fund and adviser compliance policies and procedures, and fund governance.

He assists registered fund clients in preparing various SEC disclosure filings, including registration statements, amendments, supplements, proxy statements, information statements, and shareholder reports.

Mr. Dupuy also has advised insurance companies on securities law issues relating to the investment products they offer, including variable annuities and variable life insurance and the separate accounts that are used to fund them.

Professional Background

Prior to joining the firm, Mr. Dupuy was Vice President and Senior Counsel for State Street Corporation assisting State Street Fund Administration as well as clients of State Street that offer registered investment companies, business development companies, and other pooled investment vehicles.

Prior to his work at State Street, Mr. Dupuy served as Vice President and Assistant General Counsel for an insurance company subsidiary of Goldman Sachs. In this role, Mr. Dupuy advised the company and its affiliates in all matters relating to licensing, state insurance matters, broker-dealer regulation, variable product filings, compliance, board governance, mergers and acquisitions, and co-insurance and reinsurance transactions.

Mr. Dupuy has also served as in-house counsel to Pioneer Investments and Manulife Financial focusing on issues related to registered investment companies, variable products, and corporate governance.

Prior to becoming a lawyer, Mr. Dupuy spent five years working in operations and compliance at Manulife Financial.

Professional/Civic Activities

  • Good Shepherd School, Charlestown, MA - Director and Chairman of the Board
  • Best Buddies Massachusetts - Advisory Board Member
  • Old Gold Rugby Football Club, Boston, MA - Trustee