Talking Investment Management

The SEC's Regulatory Reset: Staying Ahead of the Curve

Before joining us at the Investment Adviser Association (IAA)’s Investment Adviser Compliance Conference and the Investment Company Institute (ICI)’s Investment Management Conference, tune into our latest “Talking Investment Management” podcast episode! This episode, “The SEC's Regulatory Reset: Staying Ahead of the Curve,” features Stradley Ronon executive partner Bruce Leto [https://url.us.m.mimecastprotect.com/s/RIdUCkRo98T39nZRskCDSGtJKK?domain=ecomms.stradley.com], a longtime leader in the investment management practice and distinguished speaker throughout ICI’s history of conferences, along with this year’s ICI panelists and Stradley Ronon partners Sara Crovitz [https://url.us.m.mimecastprotect.com/s/I5RiClYpjxTqxoD3hgFrSzEHRA?domain=ecomms.stradley.com], co-chair of the investment management practice (and an IAA panelist), and Jan Folena [https://url.us.m.mimecastprotect.com/s/l5smCmZElOhLz5G7u4HzSRWtvG?domain=ecomms.stradley.com], co-chair of the securities and regulatory enforcement practice. Listeners will gain insight into: * Regulatory updates such as recent additions to the Names Rule FAQs and proposed changes to Form N-PORT. * Developments in tokenization, blockchain-based fund registration, and exchange-traded funds. * U.S. Securities and Exchange Commission (SEC) exam preparation and strategy and current exam focus areas.

Best Protections for Fund Directors from SEC Exams and Enforcement – Looking Back and Ahead

In this episode of our “Talking Investment Management” podcast, Stradley Ronon partners and former SEC staff members David Grim [https://www.stradley.com/david-w-grim] and Jan Folena [https://www.stradley.com/jan-m-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 [https://www.stradley.com/events/idcs-fund-directors-conference-board-oversight-of-product-development-and-management].

Tokenization and Stablecoins: What Fund Managers Need to Know

In this episode of our “Talking Investment Management” podcast, Stradley Ronon partners Jamie Gershkow [https://www.stradley.com/jamie-m-gershkow] and Jesse Kanach [https://www.stradley.com/jesse-p-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 [http://www.stradley.com]

The SEC Under New Management

Before the Investment Company Institute’s 2025 Investment Management Conference, Stradley Ronon partners and former SEC staff members David Grim [https://www.stradley.com/professionals/g/grim-david], Jan Folena [https://www.stradley.com/professionals/f/folena-jan] and Brian Murphy [https://www.stradley.com/professionals/m/murphy-brian] 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.

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, 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.