John S. Marten

John Marten helps registered investment companies, their advisers, independent directors and boards, and other clients in the asset management industry achieve positive business outcomes while staying compliant with the Investment Company Act of 1940 and other complex federal and state laws under which they operate.

With extensive experience in the investment management industry, John advises on the formation and registration of investment companies, including SEC filings, conducts compliance policy reviews, and advises boards and independent directors on fiduciary duties, conflicts of interest, board administration and other corporate governance matters. He guides investment companies and their advisers on product design and registration, derivative instruments, and investment adviser business issues. He also helps clients respond to SEC examination requests and resolves regulatory inquiries favorably and efficiently.

Additionally, John guides clients in exchange-traded fund, mutual fund and closed-end fund formations, structuring complex alternative fund products, negotiating derivatives contracts for funds, achieving and maintaining ongoing compliance requirements, and undertaking fund reorganizations.

He is the co-author of two chapters on investment company contracts published in Mutual Fund Regulation.

Experience

• Advising independent directors of registered investment companies on fiduciary duties, conflicts of interest and other governance matters and counseling registered investment companies on all aspects of board administration and meeting preparation.
• Handling all aspects of the formation of registered investment companies, including corporate formation, SEC registration and initial securities issuance.
• Providing comprehensive counsel to registered investment companies regarding ongoing compliance matters, including drafting and reviewing compliance policies and procedures and assisting clients in annual compliance reviews.