Susan Betteridge Baker
  1. Counsel

Ms. Baker is counsel in Davis Polk’s Investment Management/Private Funds Group. She advises on the Investment Company Act, Investment Advisers Act and related federal laws. Her clients include investment management companies, advisers, financial institutions and mutual fund directors. She regularly counsels these clients on investment company organizational, governance, distribution, compliance and regulatory matters.

Recently, Ms. Baker has counseled advisers, mutual funds, funds of hedge funds, Chief Compliance Officers and fund directors on the development, implementation, review and approval of written policies and procedures. In addition, she has counseled advisers on regulatory filings, distribution and service fee agreements, prospectus and summary disclosures and fund launches and reorganizations.

Of Note

  • Ms. Baker was a speaker/panelist at New York City Bar’s “Hot Topics For Investment Companies: Legal, Ethical & Business Issues,” June 2007.
Memberships
  • Member, American Bar Association
  • Member, New York City Bar
  • Former Member, Investment Management Committee and Chair of the Books and Records Sub-Committee, New York City Bar

Professional History

  • Counsel, 2004-present
  • Associate, Davis Polk, 2003-2004
  • Senior Counsel of Equity Funds (2001-2003); Temporary General Counsel (Tokyo, 2000-2001); Vice President/Director, Senior Counsel of Offshore Funds (1993-2000); Counsel, Investment Advisor and Administrator (1987-1993), Merrill Lynch Investment Managers
  • Associate, Lankenau Kovner & Bickford, 1985-1987

Practice Focus

Bar Admissions

  • State of New York

Education

  • B.A., Biology, Smith College, 1979
  • J.D., Brooklyn Law School, 1984