Mutual Fund Minute
Welcome to Sidley’s Mutual Fund Minute podcast. Join us for this series of short insights addressing issues of interest to fund directors, advisers, and other stakeholders. Each week Sidley Partner Jay Baris and guests discuss new trends, regulations, and developments and how they will affect you.
Episodes
36 episodes
Reimagining the Investment Company Act of 1940, Part II
In this episode of Mutual Fund Minute, Paul Cellupica, the General Counsel of the Investment Company Institute, and host Jay Baris continue to analyze the ICI’s proposals to revisit the Investment Company Act of 1940. They discus...
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11:38
Reimagining the Investment Company Act of 1940, Part I
In this episode of Mutual Fund Minute, Paul Cellupica, the General Counsel of the Investment Company Institute, joins Sidley’s Jay Baris to discuss the ICI’s proposals to modernize the Investment Company Act of 1940. The IC...
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18:52
Discussing AI, Data, and Cyber Regulation in Europe With Sidley’s William Long, Part II
This week on Mutual Fund Minute, Sidley partner Jay Baris continues his conversation with William Long, the global co-chair of Sidley’s Privacy and Cybersecurity practice who also heads Sidley’s EU Data Protection group. Together, they...
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9:43
Discussing AI, Data, and Cyber Regulation in Europe With Sidley’s William Long, Part I
This week on Mutual Fund Minute, Sidley partner Jay Baris talks with William Long, the global co-chair of Sidley’s Privacy and Cybersecurity practice who also heads Sidley’s EU Data Protection group. William summarizes the world’...
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8:11
Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part II
This week on Mutual Fund Minute, Sidley partner Jay Baris and Carolyn McPhillips, President at the Mutual Fund Directors Forum, continue celebrating the 100th anniversary of the American mutual fund. Carolyn shares her views on the ove...
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15:45
Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part I
This week on Mutual Fund Minute, Carolyn McPhillips, President at the Mutual Fund Directors Forum, joins Sidley partner Jay Baris to celebrate the 100th anniversary of the American mutual fund.
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13:58
AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part II
This week on Mutual Fund Minute, Jay Baris continues his conversation about the growing interest in artificial intelligence for investment managers with Sidley’s Hardy Callcott and Nathan Greene. Hardy is a San Francisco-based partner ...
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12:04
AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part I
This week on Mutual Fund Minute, Jay Baris talks about the growing interest in artificial intelligence with Sidley’s Hardy Callcott and Nathan Greene. Hardy is a San Francisco-based partner in Sidley’s Securities Enforcement and Regula...
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12:06
Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part II
In this episode of the Mutual Fund Minute, Sidley partner Jay Baris and Eric Pan, President and CEO of the Investment Company Institute, celebrate the 100th anniversary of the first American mutual fund. Eric shares his views on topics...
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16:21
Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part I
In this episode of the Mutual Fund Minute, Sidley partner Jay Baris and Eric Pan, President and CEO of the Investment Company Institute, celebrate the 100th anniversary of the first American mutual fund. Eric shares his views on the ch...
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9:07
UK and EU Fund Regulation in a Post-Brexit World
In this episode of Mutual Fund Minute, host and Sidley partner, Jay Baris, and Leonard Ng, head of Sidley's UK/EU Financial Services Regulatory group, discuss fund regulation in the United Kingdom and the European Union in a post-Brexi...
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8:52
Chat With Commissioner Peirce, Part II
SEC Commissioner Hester M. Peirce sat down with Sidley partner Jay Baris to share her views on a wide range of topics concerning mutual funds and investment management. In this episode of the Mutual Fund Minute, Commissioner P...
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19:15
Chat With Commissioner Peirce, Part I
SEC Commissioner Hester M. Peirce met with Sidley partner Jay Baris in Washington, D.C. to share her views on a wide range of topics concerning mutual funds and investment management. In this episode of the Mutual Fund Minute, Commissi...
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15:32
Hedge Funds Trading Treasuries as Dealers
Are you now a securities dealer? The Securities and Exchange Commission (SEC) blurred the distinction between who is an investor or mere trader and who is a “dealer” for purposes of the Federal Securities Laws when it adopted final rules on Feb...
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14:57
A Milestone for the SEC and Bitcoin Investors
A divided U.S. Securities and Exchange Commission cautiously heralded a new crypto era, on January 10, 2024, when it approved by a 3 to 2 vote multiple exchange-traded products that invest directly in bitcoin for listing and trading. To get to ...
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9:10
DOL Fiduciary Proposal
On Halloween 2023, the U.S. Department of Labor spooked the investment adviser world when it proposed rules that would redefine who is a fiduciary when someone provides investment advice for purposes of the Employee Retirement Income Securities...
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15:38
FSB Risks of Nonbank Financial Institutions
The Financial Stability Board, or FSB, is laser-focused on money market funds, mutual funds, and private funds. Specifically, the FSB is concerned that leverage in these funds and other so-called nonbank financial institutions could lead to mar...
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12:17
Why Me? How the SEC Decides Which Investment Adviser to Examine
Why me? And why now? That is usually the first thing an investment adviser asks when the Securities and Exchange Commission’s Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at an...
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8:17
What’s in a Name, Part II
Naming a registered investment company will become more challenging now that the Securities and Exchange Commission has significantly broadened the scope of the rule governing fund names. Moreover, the SEC estimates that when the Names Rule goe...
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11:35
About Nonbank Financial Companies
Federal regulators propose to make it easier to designate a nonbank financial company as a systemically important financial institution that could threaten the financial stability of the economy if it were to fail.In this episode of the ...
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7:49
Managing Counterparty Risk: Five Steps Funds and Advisers Can Take Now
The recent collapse of several high-profile banks has amplified concerns among money managers and fund directors about counterparty risk. What should advisers and fund directors know about counterparty risk? How can they identify and manage the...
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16:42
Money Market Fund Reform – Without Swing Pricing
Money market funds dodged a bullet when the SEC declined to impose swing pricing when it adopted final reform rules on July 12, 2023. Listen here as Sidley’s Jay Baris and Doug McCormack discuss the new money market reform rules, ...
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9:31
Conflicts of Interest Involving Covered Technology
In this episode of Mutual Fund Minute, Sidley partners Jay Baris and Benson Cohen discuss the SEC’s proposed rules to address conflicts of interest when broker-dealers and investment advisers use predictive data analytics.
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10:59