Bryan Cave Combines with Berwin Leighton Paisner to Form Bryan Cave Leighton Paisner LLP Learn More

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Dee Anne Sjögren is co-leader of the firm’s private funds practice. She represents investment funds and investment advisers with respect to fund formation, fund management and regulatory compliance.  Her fund clients regularly include private equity, venture capital and real estate fund, hedge funds and funds of funds. She has substantial experience creating 3(c)(1) and 3(c)(7) private investment funds and 3(c)(5) private real estate funds. She also organizes mutual fund trusts and multi-series trusts, prepares and files SEC registration statements, and provides ongoing regulatory advice as trust counsel and as independent counsel to the independent trustees.

Dee Anne represents institutional investors, including corporate and government pension plans, retirement systems and foundations in negotiating investments in alternative assets, including private equity, venture capital and hedge funds, and other private funds that invest in derivatives, real estate, commodities, leveraged buy-outs and distressed debt.   She reviews and negotiates investment management agreements with third party money managers, ISDA and futures commission merchants agreements and schedules, and securities lending and repurchase agreements with banks on behalf of institutions.

Her practice also includes representing broker-dealers, fee-only financial planners and discretionary asset management firms regarding SEC, FINRA and state registration, regulatory, compliance and enforcement matters.

Civic Involvement & Honors

    • Compagnons du Vin Society
    • Ladue Chapel, Chair of St. Andrews Memorial Garden Committee
    • Ladue Chapel, Chair of St. Andrews Memorial Garden Committee
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Professional Affiliations

    • 40 Under 40, St. Louis Business Journal, 2008
    • Best Mutual Fund Lawyer, St. Louis Business Journal, 2009 - Present
    • Financial Planning Association of Missouri/S. Illinois, Board Member, April 1997-2010
    • Best Mutual Fund Lawyer, St. Louis Business Journal, 2009 - Present
    • Financial Planning Association of Missouri/S. Illinois, Board Member, April 1997-2010
    • Financial Planning Association of Missouri/S. Illinois, Board Member, April 1997-2010
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Publications

  • “DOL’s Fiduciary Rule Levels Playing Field for Advisors, Imposes New Duty on Brokers,” April 2016
  • “Lessons Learned from the Fall of Schwab YieldPlus,” Practical Compliance & Risk Management for the Securities Industry, July 31, 2011
  • “Limits on Mutual Funds’ Use of Hedging Strategies and Derivatives,” The Investment Lawyer, December 2005
  • “10 Practical Tips for Representing Mutual Fund Trustees,” The Investment Lawyer, July 2005
  • “Securities Law Aspects of Corporate Reorganizations,” Missouri Bar CLE Handbook, Summer 1997, updated Summer 2001
  • “An Ounce of Prevention: Conducting a Regulatory Compliance Audit,” The Investment Lawyer, Vol. 3, No. 8, pp. 6-11, November 1996
  • “CyberFinancing: Prophesy of the Future or Pie in the Sky?,” Kirkpatrick & Lockhart LLP Business Law Update, pp.1-4, Summer 1996
  • “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
  • “Dealing with State Securities Regulators,” Securities & Commodities Regulation, Vol. 28, No. 20, pp. 203-214, November 22,1995

Speaking Engagements

  • BrightPlan, LLC Investment Advisers Act of 1940 Continued Legal Education Workshop, Saint Louis, Missouri, September 2017
  • 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