Peter Fariel
Senior Legal Counsel-DWS Investment Management Americas
- Role
- Senior Legal Counsel at DWS Group
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Peter Fariel
l support Putnam Investment Management\'s mutual fund and ETF businesses, including disclosures, legal support on mutual fund and ETF matters presented to the board of trustees, and Putnam’s affiliated mutual fund distributor-Address complex legal issues and regulatory developments under the Investment Company Act of 1940 and Investment Advisers Act of 1940-Prepare comment letters to the Securities and Exchange Commission regarding SEC rule proposals and participate actively in ICI and SIFMA AMG working groups, including regarding the liquidity risk management and derivatives risk management rules-Provide launch and ongoing legal support for semi-transparent and fully transparent ETFs as well as an ESG-focused target date fund suite that invests in underlying Putnam-sponsored ESG ETFs.
Experience
Senior Legal Counsel
Aug 2024 — Present · Boston, MA, US
Provide legal support for DWS Investment Management-sponsored US registered mutual funds and exchange-traded funds
Education
Johns Hopkins School of Advanced International Studies (SAIS)
Master of Arts - MA, International Relations and Affairs
William & Mary
BA, Government
University of Virginia School of Law
Doctor of Law - JD, Banking, Corporate, Finance, and Securities Law
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