Talking Investment Management

In this episode of our “Talking Investment Management” podcast, Stradley Ronon partners Mark Greer, Brian Murphy and Shawn Hendricks explore key themes in exchange-traded funds (ETFs) that are expected to shape discussion at the upcoming Investment Company Institute (ICI)’s ETF Conference, including sessions led by the firm.

Listeners will gain insight into:

• ETF share class relief: How the framework is being implemented in practice, ongoing compliance, and board oversight considerations.
• Digital assets and ETFs: The evolving regulatory landscape, market developments and considerations for product innovation.
• Tokenization: What it means for ETF sponsors and fund managers as digital distribution models continue to develop.
• Emerging topics: Leveraged ETFs and the growing role of AI in the ETF lifecycle.

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, 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, co-chair of the investment management practice (and an IAA panelist), and Jan Folena, 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.

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.

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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.

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.