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Marguerite W. Laurent

Associate
+1.202.778.9403
Fax +1.202.778.9100
Meg Laurent concentrates her practice on advising registered investment companies, their independent board members, registered investment advisers, and broker dealers on a broad range of regulatory and compliance matters that arise under U.S. federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and their related rules and regulations, as well as the Commodity Exchange Act.

Ms. Laurent has experience drafting and reviewing registration statements, proxy statements, and cyclical required filings, as well as other legal documentation for the formation, organization and ongoing operations of registered investment companies. She also has experience preparing materials for, and attending meetings of, independent board members and advising independent board members in their review of advisory contracts and other matters. In addition, Ms. Laurent has experience drafting and reviewing registration materials and compliance programs for broker dealers. Ms. Laurent also has experience negotiating the resolution of SEC staff comments regarding SEC filings and obtaining exemptive orders seeking relief from certain of the U.S. federal securities laws. Ms. Laurent also advises clients on various legal and regulatory issues, including SEC compliance, compliance policies and procedures, and contract negotiation.

Professional Background

Prior to joining K&L Gates, Ms. Laurent was a senior counsel with the U.S. Securities and Exchange Commission, where she conducted routine and risk-based inspections of self-regulatory organizations and nationally recognized statistical rating organizations to ensure compliance with federal securities laws, among other matters.

During law school, Ms. Laurent was a law clerk for the Hon. John T. Curtin of the U.S. District Court for the Western District of New York.

Achievements

In 2017, Ms. Laurent was Awarded “Rising Star” at the 24th Mutual Fund Industry Awards sponsored by Fund Industry Intelligence and Fund Director Intelligence. The rising stars are nominated by their peers, mentors, and colleagues for their outstanding work in the broader mutual fund community.