Talking Investment Management

In this episode of our “Talking Investment Management” podcast, Stradley Ronon partners and former SEC staff members David Grim and Jan Folena are joined by Andrew (Buddy) Donohue, a former chief of staff for the U.S. Securities and Exchange Commission, former director of the SEC’s Division of Investment Management and current fund director, to discuss the evolving landscape of fund oversight and regulatory enforcement.With the Independent Directors Council (IDC) 2025 Fund Directors Conference approaching, this episode explores the challenges, lessons learned, and practical strategies for fund directors navigating SEC exams and enforcement actions.Listeners will gain insight into:Key historical and recent SEC enforcement actions involving fund directors.The specific responsibilities and obligations of fund directors.How SEC exams and enforcement intersect with fund governance.Practical strategies to mitigate regulatory risk and respond to investigations.Whether you’re a fund director, fund manager, or part of a board’s legal and compliance team, this episode offers an insider’s perspective on maintaining compliance, managing risk, and staying ahead in a highly regulated environment.Be sure to catch our team at the IDC conference.

In this episode of our “Talking Investment Management” podcast, Stradley Ronon partners Jamie Gershkow and Jesse Kanach explore the fast-evolving world of tokenization and what it means for investors, fund sponsors and financial institutions. Starting with the fundamentals, Jamie and Jesse explore how blockchain is reshaping traditional investment instruments, such as money market funds, and enabling new innovations, such as stablecoins and interest-bearing digital assets.Listeners will gain insight into:What tokenization means and why it matters.The appeal of tokenized money market funds.The evolution and regulation of stablecoins.Key legal and compliance considerations.Whether you’re a fintech enthusiast, fund manager, or simply seeking a primer on the topic, this episode offers a forward-looking discussion on where tokenization is headed.www.stradley.com

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.

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, we 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.

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.

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.

Join Stradley Ronon Partners David Grim and Sara Crovitz for a conversation with Cynthia Plouché, Chair of the Independent Directors Council (IDC) Governing Council. What are the key issues facing Fund Directors in 2023 and beyond? Our panel discuss a variety of SEC regulations including: cybersecurity, ESG, the SEC's outsourcing proposal fund fees and expense disclosure, artificial intelligence, as well as diversity in the boardroom and succession planning.

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.

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.

Episode 2: 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?

SEC rules on valuation and derivatives have been implemented by the fund industry. Now, what for fund boards?