Mutual Fund Minute

The SEC proposed rules for best execution of securities trades by broker dealers. In this Mutual Fund Minute, Sidley's Jay Baris talks with fellow partner Hardy Callcott about how the rule would apply to best execution of fixed income securities, and what it would mean for funds and advisers.

Listen here as Investment Funds partner Jay Baris and Ranah Esmaili, a partner in Sidley's Securities Enforcement and Regulatory practice, discuss the sweeping rules proposed by the SEC that would require funds and investment advisers to disclose more specific information about investment companies, private funds, and SMAs pursuing ESG investment strategies.

Can a chatbot write a fund prospectus? Listen here as Jay Baris and Nathan Greene, partners in Sidley’s Investment Funds group, discuss how funds and investment advisers will use artificial intelligence, and how fund directors and investment managers can evaluate and understand the potential benefits – and challenges – that AI presents.

Listen here as Jay Baris and Nathan Howell, partners in Sidley’s Investment Funds group, unravel the regulatory mysteries of how mutual funds, ETFs, and registered closed-end funds can invest in commodity futures contracts, subject to the jurisdiction by both the SEC and the CFTC.

Tune into Mutual Fund Minute, as Jay Baris, a partner in Sidley’s Investment Funds group, looks at the growing interest in index-based investing by mutual funds and ETFs that has prompted the SEC to ask whether they should regulate index providers and other service providers as investment advisers. This episode looks at the implications for funds and investment advisers if they were go down this regulatory route.

Tune into Mutual Fund Minute here, as Jay Baris, a partner in Sidley’s Investment Funds group, takes a nostalgic look at the long and winding regulatory road of fund board culture, with a reminder that history is always an important guide to understanding the present.

Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s Division of Examinations examination priorities for 2023, and what funds and advisers can expect.

Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the proposed “swing pricing” and “hard close” requirements and how they would ripple through the world of investment companies and financial intermediaries.

Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s latest Rulemaking Agenda in 2022 which promises to be a rollercoaster ride for funds, their independent directors, investment advisers, and other service providers.

Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s new mandate for mutual funds and ETFs and looks at the implications for Funds and their investors.