John M. Baker

Counsel

jbaker@stradley.com

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John Baker
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Overview

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. 

Prior to joining Stradley Ronon, John was senior counsel for a leading Boston financial institution, where he served as the primary legal advisor to the bank in its role as investment adviser to mutual funds with more than $9 billion in assets.

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Focus

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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Credentials

Bar Admissions
  • District of Columbia
  • Massachusetts
Education
  • J.D., Harvard Law School
  • B.A., cum laude, Centre College
Memberships

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

Publications

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News

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Presentations

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Speaking Engagements

  • Presenter, “Unpacking the Corporate Transparency Act,” Stradley Ronon CLE
  • Presenter, "Financial Services Regulatory Workshop," Stradley Ronon CLE
  • Panelist, “Financial Services Regulatory Forum,” Stradley Ronon CLE Webcast
  • Panelist, “Regulation Best Interest and Other New SEC Standards of Conduct: Impact on Broker-Dealers, Investment Advisers and Investment Companies,” Strafford Webinar
  • Speaker, “Investment Company Act & Advisers Act Cryptocurrency Considerations,” Investment Management’s Digital Assets Working Group: Cryptocurrency Legal Roundup - Securities, Derivatives, Enforcement & Litigation Updates 
  • Presenter, “After the Election: What to Expect from the New Administration in the Securities Field,” Philadelphia Bar Association’s Securities Regulation Committee Meeting
  • 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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