Marguerite Bateman

Practice Areas

Ms. Bateman focuses her practice on advising investment companies and investment advisers on issues arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and in counseling independent directors of investment companies on their duties and responsibilities under the law. She counsels investment company boards of directors and trustees, and registered and unregistered investment advisory organizations in navigating the stringent federal securities laws that asset management clients deal with daily, as well as on challenging developments such as regulatory examinations, inquiries and litigation.

Ms. Bateman regularly counsels independent directors serving funds of all sizes and structures, including open- and closed-end funds and exchange-traded funds (ETFs). She serves as independent legal counsel to independent trustees of both large and small investment company fund complexes and advises boards on obligations in connection with fund mergers, liquidations and other significant transactions. Ms. Bateman has experience developing compliance programs and annual compliance review protocols for investment advisory clients. She also has been involved in regulatory initiatives focused on fund governance and development of programs to educate fund directors regarding their oversight responsibilities.

Professional Memberships

Member, American Bar Association

Member, District of Columbia Bar Association

Member, Federal Bar Association