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Dee Anne Sjögren

Partner

St. Louis
314 552 6295 direct

Dee Anne focuses her practice on representing investment funds, registered investment advisers and broker-dealers with respect to regulatory, compliance and enforcement issues; and representing institutional investors investing in hedge funds, private equity, venture capital, real estate, commodities and real asset funds.

She has substantial experience in creating 3(c)(1) and 3(c)(7) private investment funds and funds of hedge funds.

She represents pension plans, retirement systems and foundations in negotiating institutional investments in private hedge funds and other private funds that invest in derivatives, real estate, venture capital, leveraged buy-outs and distressed debt. Her practice also includes representing financial planners, investment advisers and broker-dealers regarding SEC, FINRA and state registration, regulatory, compliance and enforcement matters.

Publications

"DOL’s fiduciary rule levels playing field for advisors, imposes new duty on brokers";
April 2016

Author, "Lessons Learned from the Fall of Schwab YieldPlus";
Practical Compliance & Risk Management for the Securities Industry, July 31, 2011

Author, "Limits on Mutual Funds’ Use of Hedging Strategies and Derivatives";
The Investment Lawyer, December 2005

Author, "10 Practical Tips for Representing Mutual Fund Trustees";
The Investment Lawyer, July 2005

Author, "Securities Law Aspects of Corporate Reorganizations";
Missouri Bar CLE Handbook, Summer 1997, updated Summer 2001

Author, "An Ounce of Prevention: Conducting a Regulatory Compliance Audit";
The Investment Lawyer, Vol. 3, No. 8, pp.6-11, November 1996

Author, "CyberFinancing: Prophesy of the Future or Pie in the Sky?";
Kirkpatrick & Lockhart LLP Business Law Update, pp.1-4, Summer 1996

Author, "State Law Issues: Investment Adviser and Broker-Dealer State Registration";
presented at The Boston Company Investment Management Compliance Seminar in Boston, MA, June 10, 1996

Author, "Dealing with State Securities Regulators";
Securities & Commodities Regulation, Vol. 28, No. 20, pp. 203-214, November 22, 1995

Presentations

Scottrade, Inc. Investment Advisers Act of 1940 Continued Legal Education Workshop;
Saint Louis, Missouri, August 19, 2015

Investment Advisers Association (IAA) Fall 2014 Compliance Workshop;
Dallas, Texas, November 4, 2014

Investment Advisers Association (IAA) Spring 2013 Compliance Workshop;
Arlington, Virginia, March, 2013

Investment Advisers Association (IAA) Fall 2012 Compliance Workshop;
Austin, Texas, November 7, 2012

"SEC Exam Priorities" Huntington Asset Services, Inc. Client Forum;
Indianapolis, Indiana, September 16, 2012

Investment Advisers Association (IAA) Fall 2011 Compliance Workshop;
Dallas, Texas, November 15, 2011

"SEC Update - What CPAs need to Know about Changes to Securities Regulations under The Dodd-Frank Wall Street Reform and Consumer Protection Act";
MSCPA Investments/Financial Advisors Conference, August 1, 2011

"Regulatory Reform & Capitol Hill Update";
CFA Society, May 2010

"Regulatory Reform, Code of Ethics and Pay to Play Proposal";
Investment Adviser Association Compliance Workshop/Dallas, TX, November 19, 2009

"Gain Control Over Your Practice: Rainmaking Techniques for Women";
presented at BAMSL/Women in the Legal Profession Section, February 24, 2009