Marguerite Bateman

Marguerite Bateman advises clients on federal securities law compliance, with a focus on the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

She works with boards of trustees for mutual funds, closed-end funds and ETFs, as well as investment advisers. Her clients include the fund boards of some of the world’s best-known asset management firms.

As independent legal counsel, Marguerite guides fund independent trustees in their oversight role and compliance with governance rules under the 1940 Act. She assists trustees in their full spectrum of responsibilities, from compliance with regulatory oversight obligations to reviewing advisory contracts to evaluation of complex transactions. In transactions involving potential conflicts of interest, she helps trustees clarify and discharge their duty to the funds they serve and their shareholders. For adviser clients, she counsels on board interactions and structures and performs compliance reviews.

Member, American Bar Association

Member, District of Columbia Bar Association

Member, Federal Bar Association