Gwen Williamson

Gwen Williamson represents players in the asset management space — registered funds and their independent directors; investment advisers, private funds and other institutional investors; and high net worth individuals and family offices. 

Gwen focuses much of her practice under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, meaning that she advises clients on issues that arise in the operation of registered funds and investment advisory businesses. She is also highly experienced in environmental, social and governance (ESG) and principles-based investing.

Gwen enjoys working with clients to solve problems, whether in the short or long term. She thrives on working creatively to advise clients around the novel investment products that are the future of the asset management industry and in implementing SEC rulemakings and complying with the federal securities laws day to day.

Investment Management

Gwen counsels clients on their full range of responsibilities arising under the Investment Company Act and the Investment Advisers Act. Her nearly 20 years of experience counseling asset management industry players include:

  • fund launches, mergers and liquidations
  • compliance programs
  • vendor oversight programs
  • risk assessments
  • SEC examinations and investigations
  • applications for exemptive relief
  • changes in control
  • investment company status issues
  • reporting under the federal securities laws

Environmental, Social & Governance (ESG) Investing

Since 2018, Gwen has focused a significant part of her practice on the myriad legal and compliance issues that surround ESG investing. She provides ESG-related disclosure and compliance audits for fund and adviser clients, and collaborates with clients on ESG policies, programs and reporting, both at the institutional investor and individual retail level.

Service and Thought-Leadership

A highly active speaker and writer, Gwen serves on the editorial board of The Investment Lawyer: Covering Legal and Regulatory Issues of Asset Management (Wolters Kluwer). Recent pieces she has authored cover the SEC’s new rules for private fund advisers, ESG investing frameworks, exchange-traded funds (ETF) governance and the evolution of mutual fund distribution arrangements.