John S. Marten, a Shareholder in the Chicago office of Vedder Price, has substantial experience representing clients in the investment management industry.
As a member of the firm’s Investment Services group, Mr. Marten counsels clients on a wide variety of matters involving the application of the federal securities laws to investment companies, investment advisers and broker-dealers. He has significant experience counseling investment company clients with respect to new products and was recently involved in the creation of two mutual funds employing alternative investment strategies. Mr. Marten provides practical legal and business advice to investment company directors to assist them in fulfilling their fiduciary duties as directors, including extensive experience counseling directors with respect to Section 15(c) contract renewal matters.
Mr. Marten has represented clients on a broad range of matters, including:
- 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
More Legal and Business Bylines From John S. Marten
- FINRA Settles Enforcement Proceeding Against Firm's AML Compliance Officer for Alleged Failure to Implement AML Program - (Posted On Thursday, April 21, 2022)
- SEC Charges 12 Additional Firms for Failure to Meet Form CRS Obligations - (Posted On Wednesday, April 20, 2022)
- SEC Charges Investment Adviser's Former CIO and Founder in Connection with Fraudulently Overvaluing Assets - (Posted On Tuesday, April 19, 2022)
- SEC Proposes Rule Changes to Shorten Securities Settlement Cycle - (Posted On Thursday, April 14, 2022)
- SEC Proposes Significant Changes to Beneficial Ownership Reporting Requirements - (Posted On Thursday, April 14, 2022)
- SEC Proposes Short Sale Data Reporting by Institutional Investment Managers - (Posted On Wednesday, April 13, 2022)
- SEC Chair's Remarks Suggest Heightened Regulatory Scrutiny of Private Funds - (Posted On Friday, February 11, 2022)
- SEC Staff Issues Statement on LIBOR Transition with Key Considerations for Market Participants - (Posted On Friday, February 11, 2022)
- SEC Settles Charges Against Operating Company for Failure to Evaluate and Disclose Director's Breach of Independence Standards - (Posted On Friday, February 11, 2022)
- Highlights from the SEC Division of Enforcement's 2021 Annual Report - (Posted On Friday, February 11, 2022)
Vedder Price's Investment Services group is recognized by the National Law Review as a Go-To Thought Leader for the group’s regular contributions on and analysis of SEC amendments and regulations, enforcement actions and proposed rulemaking. Topics addressed by Vedder’s Investment Services group related to the SEC include: enforcement proceeding settlements, the modernization of fund disclosure regime, amendments to proxy rules and the review process for exemptive applications. The following Vedder Price attorney authors were the most frequent contributors: John S. Marten, Nathaniel Segal and Jacob C. Tiedt.
The National Law Review recognizes Rachel Behar, Robert M. Crea, Joseph M. Mannon, John S. Marten, Nathaniel Segal, Jacob C. Tiedt, and Jeff VonDruska of Vedder Price as 2021 Go-To Thought leaders for their well-thought-out and timely updates on developments at the SEC. The SEC reporting team at Vedder Price covers a range of topics including fixed income trades, wrap fee program deficiencies, advisor fee calculations and breaks down the most critical issues, and provides readers actionable insights.