Episode 8: The SEC Under New Management
What’s it like working at the SEC during a major leadership transition? And what does new management mean for investment managers, boards and advisers, and the industry overall?
Before the Investment Company Institute’s 2025 Investment Management Conference, Stradley Ronon partners and former SEC staff members David Grim, Jan Folena and Brian Murphy share what it’s like inside an agency in transition on the latest Talking Investment Management podcast episode.
Our podcasters discuss:
- New SEC leadership on the horizon.
- What to expect in terms of rulemaking, enforcement and priorities.
- Perspectives from their time at the SEC.
Also available on Apple Podcasts
Episode 7: Diving into ETFs: Are You Ready for a Sea Change?
Before you join us at the Investment Company Institute’s 2025 Investment Management Conference, get a sneak peek of our lunch-and-learn panel “Diving into ETFs: Are You Ready for a Sea Change?” by tuning in to our latest podcast episode!
In this episode, partners Jamie Gershkow, Mark Greer, Brian Murphy and Michael Mundt discuss:
- The latest SEC leadership changes and regulatory outlook.
- The evolving landscape for ETF share classes.
- Crypto ETPs, private credit ETFs and non-transparent ETFs.
Also available on Apple Podcasts
Episode 6: Board Oversight of Exchange-Traded Funds - Part 2
We are excited to bring you Stradley Ronon’s next installment of our Talking Investment Management podcast, during which Stradley Ronon partners Fabio Battaglia and Michael Mundt speak with Lisa Chaikin Hamman, associate managing director at the Independent Directors Council. This episode — the second installment of a two-part episode — discusses board oversight for unique exchange-traded fund (ETF) situations.
The conversation touches on recent developments, including the introduction of semi-transparent or non-transparent actively managed ETFs, the conversion of mutual funds to ETFs and the pending relief requests to introduce ETF classes of mutual funds.
Also available on Apple Podcasts
Episode 6: Board Oversight of Exchange-Traded Funds - Part 1
In collaboration with the Independent Directors Council (IDC), partners Fabio Battaglia and Michael Mundt spoke with Lisa Chaikin Hamman, Associate Managing Director at the IDC, on Stradley Ronon’s Talking Investment Management podcast in a two-part episode to discuss board oversight of exchange-traded funds (ETFs). The conversation stemmed from the newly released IDC white paper that Mike assisted with updating, which provides an in-depth overview of the duties of ETF directors.
Also available on Apple Podcasts
Episode 5: The Fund Director’s Guide to Navigating the Regulatory Landscape
Join Stradley Ronon Partners David Grim and Sara Crovitz for a conversation with Cynthia Plouché, Chair of the Independent Directors Council Governing Council, on what they think are the key issues facing Fund Directors in 2023 and beyond.
Our panel discuss a variety of SEC regulations including: cybersecurity, ESG, adviser outsourcing, fund fee and expense disclosure, and artificial intelligence, as well as diversity in the boardroom and succession planning.
Also available on Apple Podcasts
Episode 4: Looking Back and Forward at the SEC’s Rule for Fair Value
As we pass the one-year anniversary of the compliance date for the SEC’s Rule 2a-5 under the Investment Company Act of 1940, the Mutual Fund Directors Forum (MFDF) and Stradley Ronon partnered to jointly publish a comprehensive paper for fund directors looking back at the past year and ahead to the future at the Rule for good faith determination of fair value. Join MFDF President Carolyn McPhillips, Stradley Ronon Partner David W. Grim and Stradley Ronon Associate Jennifer Hillman as they break down key parts of the paper.
Also available on Apple Podcasts
Episode 3: Commitment to Diversity: Key Issues in Asset Management
Stradley Ronon Partners David Grim, Jamie Gershkow and Brian Seaman discuss diversity, equity and inclusion in the asset management industry and share practical tips on how to build a more inclusive environment in your organization.
Also available on Apple Podcasts
Episode 2: What Is Coming Down the Pike?
The SEC is about to adopt a number of rules that will impact the fund industry, including on ESG, fund names and cybersecurity. What should fund boards expect and care about? Stradley attorneys Dave Grim, Mena Larmour and Chris Zimmerman discuss.
Also available on Apple Podcasts
Episode 1: What We Are Hearing in the Boardroom
SEC rules on valuation and derivatives have been implemented by the fund industry. Now what for fund boards? Join Stradley attorneys Dave Grim, Mena Larmour and Chris Zimmerman as they provide insights.
Also available on Apple Podcasts