John M. Baker


John Baker


John Baker focuses his practice on complex securities law and banking issues for mutual funds and their boards of directors/trustees, investment advisers, broker/dealers, banks, hedge funds and other participants in the financial markets.

John is known throughout the mutual fund industry as the creator and moderator of FundLaw, a leading online discussion group that reports developments and changes in securities law, with an emphasis on legal issues impacting the investment management industry.

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Representative Matters

  • established a number of public and private investment funds, and represented funds in leveraged buyouts and other investment activities
  • coordinated the acquisition of a mutual fund complex and negotiated buyouts of service provider contracts
  • updated a fund family registration statement to comply with new Form N-1A provisions - the first fund family in the country to comply
  • engaged by a pension consulting firm located in Guam to establish a series of collective trust funds.
  • acted as primary counsel for a startup bank insurance agency, coordinating bank positions on cutting-edge legal issues and obtaining insurance agency licenses in spite of state laws prohibiting bank insurance sales
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Bar Admissions
  • District of Columbia
  • Massachusetts
  • J.D., Harvard Law School
  • B.A., cum laude, Centre College

  • District of Columbia Bar, Corporation, Finance and Securities Law Section

Speaking Engagements

  • Speaker, “The ‘How-To Guide’ for Regulatory Change,” TDAmeritrade Institutional National Conference
  • Speaker, “Compliance Issues for UMA Advisers,” Money Management Institute: MMI Fall Conference, Managed Accounts Solutions
  • Speaker, “SEC Hot Button: Fiduciary Issues and Conflicts of Interest, Financial Research Associates, Hedge Fund Regulation and Compliance”
  • Speaker, “Investment Advisory Contracts: What They Should and Shouldn’t Contain,” TD Waterhouse Institutional Services, Partnership National Conference
  • Speaker, “NASD Issues, Investment Company Institute,” Securities Law Developments Conference
  • Speaker, “Revised Form N-1A, Investment Company Institute,” Disclosure Reform Conference
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