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Marguerite C. Bateman

Partner

Marguerite C. Bateman counsels asset management organizations on a broad range of issues arising under the Investment Company Act of 1940, including regulatory, governance and compliance matters. She serves as independent legal counsel to investment company boards of directors, advising them on their oversight responsibilities and industry best practices. Ms. Bateman also advises investment advisers, private fund advisers and family offices on the requirements of the Investment Advisers Act of 1940. She assists clients with matters including regulatory filings, compliance and risk management initiatives, and U.S. Securities and Exchange Commission (SEC) examinations.

Publications

"All In the Family: Application of the SEC's Family Office Rule," Approach (Nov. 2011)

"Summary Prospectus Rule as it Applies to ETFs," (co-author) The Investment Lawyer (May 2009)

"Newly Adopted Summary Prospectus Form Tailored for Exchange-Traded Funds," (co-author) The Investment Lawyer (April 2009)

"New Path, Same Destination: The Effect of Jones v. Harris Associates on 36(b) Litigation," (co-author) The Investment Lawyer (August 2008)

"Mutual Recognition: A Step Towards Greater Access to Global Markets," (co-author) The Investment Lawyer (May 2008)

Speeches and Presentations

"Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance," The American Law Institute (Oct. 28-29, 2013)

"Board Issues Roundtable: Independent Counsel Perspectives," Mutual Funds and Investment Management Conference (March 2013)

"Lightning Round," 2012 Mutual Fund Compliance Programs Conference, Washington, D.C. (May 10-11, 2012)

"Practices of Effective Fund Boards," Independent Directors Council (IDC) Investment Company Directors Conference (October 24-26, 2011)

"Risk Management Frameworks," National Society of Compliance Professionals Annual Meeting, Baltimore, Md. (October 18, 2011)

"Board Perspectives," Investment Company Institute Tax and Accounting Conference, Palm Desert, Calif. (September 13, 2011)

"Dodd-Frank's Impact on Investment Adviser Registration — What Does it Mean for You?" Schiff Hardin Webinar (April 13, 2011)

"Fund Board Dynamics, Governance and Key Issues," Mutual Funds and Investment Management Conference (March 2011)

"Corporate Governance," Investment Company Regulation and Compliance, ALI-ABA (June 2010)

"Fundamentals of Fund Board Oversight," Independent Directors Council (IDC) Investment Company Directors Conference (November 2009)

"How Regulatory Requirements Impact the Competitive Balance Between Conventional ETFs and New Types of Commodities-Based ETFs," Investment Company Institute (ICI) General Membership Meeting (May 6–8, 2009)

Previous Experience

Before joining Schiff Hardin Ms. Bateman was a partner in the financial services practice group at Sutherland Asbill & Brennan LLP. Prior to that she was the Managing Director of the Independent Directors Council (IDC), a leading forum serving the mutual fund independent director community. She also served for more than 10 years as a senior attorney for the Investment Company Institute, the industry association for the investment management industry.

Education

Wake Forest University School of Law(J.D., 1987)Notes Editor, Wake Forest Law Review
Order of the Barrister
Duke University(A.B., 1984)

Professional Memberships

American Bar Association
District of Columbia Bar Association
Federal Bar Association

Civic and Charitable Memberships

Greater Washington Educational Telecommunications Association (WETA)
Board of Trustees (2008-present)
Audit Committee Chair (2013)