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
Articles in the National Law Review database by John S. Marten
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.