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Rose F. DiMartino is a partner in the Asset Management Group of Willkie Farr & Gallagher LLP in New York. Ms. DiMartino counsels investment companies and their advisers in all aspects of their organization and operation. An expert on the Investment Company Act of 1940, Ms. DiMartino is familiar with open-end and closed-end funds, both SEC-registered and private, domestic and offshore. Ms. DiMartino also advises clients on investment adviser registration and regulation, strategic alliances, and wrap fee programs. More routinely, she advises on the full range of issues funds their Boards and advisors face day-to-day, including compliance matters, contract approvals and disclosure issues. Recently, she has advised a number of funds and their Boards on strategies to address the illiquidity of auction market preferred stock. Selected Professional and Business Activities
In 2008, Ms. DiMartino participated in a panel discussion sponsored by the Independent Directors Council of the Investment Company Institute on issues related to failed auctions for auction-market preferred stocks. Ms. DiMartino spoke on “Rulemaking Initiatives -- Proxy Voting” at the 2002 Securities Law Developments Conference and on “Best Practices in Mutual Fund Governance” at the 2004 Mutual Fund Sales and Trading Practices National Conference. She has also spoken at investment management-related conferences sponsored by the Practising Law Institute on “Investment Adviser Codes of Ethics,” “Transactions with Affiliated Persons” and “Mutual Funds Offered Within and Outside the United States,” and sponsored by the Mutual Fund Directors Forum in 2005 on “Disclosure of Board Review of Advisory Contracts: Board Oversight in the Spotlight.”Ms. DiMartino co-authored “Soliciting Over the Internet: The New E-Proxy Rules in the Investment Company Context,” Securities & Commodities Regulation Vol. 41 No. 2 (January 2008) and “Rule 38a-1: The Road Ahead,” The Investment Lawyer (May 2005). She authored “Strougo v. BEA Associates: Lowering the Pleading Threshold in Section 36(b) Actions: Excessive Fee Claims Made Easy,” The Investment Lawyer (March 2000) and “Investment Adviser Codes of Ethics,” Securities & Commodities Regulation Vol. 34 No. 16 (September 2001). Education
1981, St. John’s University School of Law, J.D.1977, Fordham University, M.A. 1974, Catholic University of America, B.A. Bar Admissions
New York, 1982 |
  Asset Management Corporate and Financial Services 
 New York, 1982  |
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