Marguerite C. Bateman > Vedder Price > Washington DC, United States > Lawyer Profile
Vedder Price Offices
1401 New York Avenue NW Suite 500
Washington, District of Columbia 20005
DISTRICT OF COLUMBIA
United States
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Marguerite C. Bateman
Work Department
Investment Services
Position
Shareholder
Career
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.
Memberships
- Member, American Bar Association
- Member, District of Columbia Bar Association
- Member, Federal Bar Association
Education
- Wake Forest University School of Law, J.D., 1987, Order of the Barristers
- Duke University, A.B., 1984
Lawyer Rankings
United States > Investment fund formation and management > Mutual/registered/exchange-traded funds
Admired for its ‘extensive knowledge and experience in the mutual fund industry‘, Vedder Price is a reliable choice for the range of matters in the registered fund sphere, from the plethora of regulatory matters, securities regulations and ERISA and tax matters, to derivatives and structured products, transactions and contentious issues. The practice acts for hundreds of separate open and closed-end Investment Company Act of 1940 registered funds, ranging from those with $5bn to over $100bn in assets. The firm’s Chicago office is a key location for the practice; practice co-heads Cathy Gonzales O’Kelly and Joseph Mannon are based there, as well as Renee Hardt and Deborah Bielicke Eades. Bruce Rosenblum is the third of the trio coordinating the department and is based in Washington DC, alongside Marguerite Bateman and Amy Ward Pershkow.
Lawyer Rankings
Top Tier Firm Rankings
- Transport > Aviation and air travel: finance
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Real estate > Land use/zoning
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Transport > Rail and road: finance
Firm Rankings
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Transport > Shipping: finance
- Labor and employment > Labor-management relations
- Investment fund formation and management > Mutual/registered/exchange-traded funds
- Labor and employment > Workplace and employment counseling
- Labor and employment > Employee benefits, executive compensation and retirement plans: design
- Labor and employment > Labor and employment disputes (including collective actions)
- Dispute resolution > Securities litigation: defense
- Investment fund formation and management > Private equity funds (including venture capital)
- Dispute resolution > Corporate investigations and white-collar criminal defense