John S. Marten

Practice Areas

Mr. Marten has extensive experience representing clients in the investment management industry, including representation of fund independent directors, counseling clients with respect to mutual fund, closed-end fund and exchange-traded fund regulation, compliance, product design and registration, and experience with investment adviser matters, derivative instruments and other investment management regulatory issues. Mr. Marten primarily focuses his practice on counseling boards of directors of investment companies and, in particular, independent directors, on their special responsibilities.

Mr. Marten has represented clients on a broad range of matters, including the following:

Advising fund independent directors on fiduciary duties and conflicts of interest and other governance matters and counseling fund clients on all aspects of board administration and meeting preparation

Advising investment companies and investment advisers on all aspects of ongoing compliance matters, including drafting and reviewing compliance policies and procedures and assisting clients in annual compliance reviews

Handling all aspects of the formation of funds, including corporate formation, SEC registration and initial securities issuance

Representing mutual fund clients in structuring complex alternative fund products, including negotiating derivative contracts

Leading a series of fund reorganizations to streamline legal entities within a client’s mutual fund complex

Assisting a client in obtaining exemptive relief from the SEC to operate under an affiliated manager-of-managers structure

Counseling clients in connection with preparing for, and responding to, SEC examination requests\

Mr. Marten is Co-Editor of the Investment Services Regulatory Update, a monthly publication that keeps clients updated on relevant regulatory developments. He is also co-author of two chapters on investment company contracts published in Mutual Fund Regulation.

Professional Memberships

Member, American Bar Association