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
- SEC Amends Proxy Rules Relating to Proxy Voting Advice - (Posted On Tuesday, September 08, 2020)
- SEC Publishes Semi-Annual Regulatory Agenda for Spring 2020 - (Posted On Friday, August 07, 2020)
- Agencies Adopt Volcker Rule Amendments Relating to Covered Funds - (Posted On Friday, August 07, 2020)
- SEC Adopts Expedited Review Process for Exemptive Applications Under the Investment Company Act - (Posted On Friday, August 07, 2020)
- OCIE Issues Ransomware Risk Alert - (Posted On Friday, August 07, 2020)
- SEC Amends Financial Reporting Rules for Investment Company Business Combination Transactions - (Posted On Tuesday, July 07, 2020)
- SEC Extends Relief from 1940 Act In-Person Voting Requirements - (Posted On Monday, July 06, 2020)
- SEC Staff Issues No-Action Letter Regarding Fund Participation in the Federal Reserve Board’s 2020 Term Asset-Backed Loan Facility - (Posted On Monday, July 06, 2020)
- SEC Chairman Confirms June 30 Compliance Date for Regulation Best Interest and Form CRS - (Posted On Monday, July 06, 2020)
- SEC Staff Reverses Position on State Control Share Statutes for Closed-End Funds - (Posted On Monday, July 06, 2020)
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.