Julie is a dedicated resource for summer associates and associates who want to sharpen their legal writing skills. She works one-on-one with lawyers and teaches workshops that address common writing challenges. In Chambers Associate, our associates called Julie "an invaluable asset to the firm."
Women in Law Empowerment Forum awarded Schiff Hardin its 2015 Gold Standard in Recognition of Integration of Women in the Firm for the 3rd straight year. Schiff Hardin was one of only eight firms in the nation to earn a perfect score.
Marguerite C. Bateman understands the importance of being both thorough and diplomatic when helping her asset management clients navigate stringent federal securities laws.
A trusted counselor to registered and unregistered investment advisory organizations and investment company boards of directors and trustees, Marguerite is intimately involved with the details of each client’s issues. After 25 years in the industry, her on-point advice and practical solutions are invaluable as regulators focus their attention on advisory relationships and the unique ”watchdog” role that fund directors play. Her reasoned approach has ably defended clients facing regulatory examinations and inquiries.
With the growth of increasingly complex investment products, diverse distribution channels and evolving regulatory requirements, advisory clients reach out to Marguerite for guidance. She offers assistance at the product development stage, performs mandatory annual reviews and creates effective compliance programs for some clients. For others, she suggests enhancements that will assist organizations achieve their potential without running afoul of regulatory mandates.
Above all, Marguerite avoids “using a hammer to kill a fly” by helping companies tailor programs to their needs and sharing her knowledge of industry best practices.
American Bar Association
District of Columbia Bar Association
Federal Bar Association
On January 11, 2017, the Securities and Exchange Commission’s Office of Chief Counsel, Division of Investment Management, issued an interpretive letter pursuant to Capital Group’s request under section 22(d) (Section 22(d)) of the Investment Company Act of 1940, as amended (1940 Act), concurring that the American Funds would be able to offer Clean Shares (as defined below) for which a broker could charge customers commissions to effect transactions if such broker is acting solely as an agent on behalf of its customers.
In October, the SEC issued its final rule with respect to investment company swing pricing. The final rule includes amendments to Rule 22c-1 under the Investment Company Act of 1940 and other amendments.
On October 13, 2016, the Securities and Exchange Commission (SEC) adopted rules, forms, and amendments to certain existing rules and forms to modernize and enhance the reporting and disclosure obligations of registered investment companies.
In late October, the SEC issued its final rule with respect to investment company liquidity risk management programs.
On June 28, 2016, the Securities and Exchange Commission proposed a new rule under the Investment Advisers Act of 1940 which would require SEC-registered investment advisers to adopt and implement written business continuity and transition plans that are reasonably designed to address operational and other risks related to a significant disruption in the investment adviser’s operations.
The Securities and Exchange Commission (SEC) has issued its long-awaited guidance following the recent and well-publicized “distribution-in-guise” sweep examination.
Greater Washington Educational Telecommunications Association (WETA)
Board of Trustees (2008-2015)
Audit Committee Chair (2013)