Paulita A. Pike

Partner

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  • JD, University of Notre Dame Law School
  • BA, University of Notre Dame

Qualifications

  • Illinois
  • Spanish
  • Fund Board Views (Editorial Think Tank)
  • Mutual Fund Directors Forum (Advisory Board)
  • BoardIQ (Advisory Board)
  • American Bar Association (Federal Regulation of Securities Subcommittee; Investment Companies and Investment Advisors Subcommittee)
  • Chicago Bar Association (Investment Management Practice Group)
  • Art Institute of Chicago (Committee on Architecture and Design)
  • Chicago Shakespeare Theatre (Board of Directors)
  • Commercial Club of Chicago (Member)
  • Mutual Fund Awards Hall Of Fame Inductee, Fund Directions’  Mutual Fund Industry Awards (2017)
  • Chambers USA: America's Leading Lawyers for Business (2015-2017)
  • Independent Counsel of the Year, Fund Directions’ Mutual Fund Industry Awards (2013 and 2008)
  • Legal 500 US (2014-2016)
  • The Best Lawyers in America (2006-2018)

Paulita A. Pike

Partner

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 School and Northwestern Pritzker School of Law, where she teaches courses, along with Paul Dykstra, on mutual fund regulation.

Publications

Presentations

Ms. Pike is a frequent speaker at industry conferences, including those sponsored by the Investment Company Institute, the Independent Directors' Council and the Mutual Fund Directors Forum.

  • Speaker, “The Regulatory Environment,” and “Client Experience Panel Discussion,” Northern Trust Distribution Summit (April 26, 2017)
  • Speaker, “Reporting Results,” Mutual Fund Directors Forum, 2017 Directors’ Institute (January 19, 2017)
  • Moderator, “Management Presentation to the First Lights Fund Board,” Mutual Fund Directors Forum, 2017 Directors’ Institute (January 18, 2017)
  • Panelist, “Regulation, Litigation, and Enforcement: The Current Landscape,” The Independent Director’s Council’s 2016 Fund Directors Conference (October 26, 2016)
  • Speaker, “Webinar on SEC Staff Guidance on Mutual Fund Distribution and Subaccounting Fees: A Summary and Discussion for Fund Directors,” Independent Directors Council (February 18, 2016)
  • Moderator, “Management Presentation to the First Lights Fund Board,” Mutual Fund Directors Forum (January 27, 2016)
  • Moderator, “Management Response to Consultant Report,” Mutual Fund Directors Forum (January 27, 2016)
  • Presenter, “Working with Management,” Mutual Fund Directors Forum (January 28, 2016)
  • Panelist, “Looking over the Shoulders of Distributors: Intermediary Oversight in Today’s Distribution Environment,” ICI’s 2015 Mutual Fund Compliance Programs Conference (May 7, 2015)
  • Panelist, “Panel II: Larger Lessons from Fund Governance” 2015 Virginia Law & Business Review and the ICI Symposium: The 1940 Acts at 75 (April 10, 2015)
  • Panelist, “SEC and Other Developments: What Directors Should Know,” ICI’s 2014 Fund Directors Conference (November 4, 2014)
  • Panelist, “Session 2-A: Current Topics for Fund Boards: Independent Counsel Roundtable,” ICI’s 2014 Mutual Funds and Investment Management Conference (March 17, 2014)
  • Panelist, “Right Funds, Wrong Time: Ratings, Flows, and Distribution,” Mutual Fund Directors Forum’s Board Oversight of Performance Conference (October 9, 2013)