About
Marguerite Bateman focuses her practice on advising investment companies and investment advisers on issues arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and counseling independent directors of investment companies on their duties and responsibilities. She also counsels investment company boards and investment advisory organizations on federal securities laws and regulatory developments.
Practice areas
Investment CompaniesInvestment AdvisersSecurities RegulationFund Formation
Office
Expertise
Mutual FundsClosed-End FundsExchange-Traded Funds (ETFs)Fund GovernanceRegulatory Compliance
Education
- Wake Forest University School of Law, J.D., 1987, Order of the Barristers
- Duke University, A.B., 1984