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Mutual Fund Minute
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Content provided by Sidley Austin LLP. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Sidley Austin LLP or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.
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.
35 episoade
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Content provided by Sidley Austin LLP. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Sidley Austin LLP or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://ro.player.fm/legal.
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.
35 episoade
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Mutual Fund Minute
1 Reimagining the Investment Company Act of 1940, Part I 18:52
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PlăcutIn 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 ICI’s report, called “Reimagining the 1940 Act: Key Recommendations for Innovation and Investor Protection,” outlines specific proposals to modernize regulations governing mutual funds, ETFs and other registered funds. Paul and Jay discuss the proposals and what they would mean for investment companies, independent fund directors and investment advisers.…
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Mutual Fund Minute
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 discuss the application of AI and related risks involving investment managers arising out of the EU’s AI Act. This episode is part of an ongoing Mutual Fund Minute series focused on cybersecurity and AI.…
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Mutual Fund Minute
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’s first artificial intelligence adopted by the European Union and its implications in Europe and the U.S. This episode is part of an ongoing Mutual Fund Minute series focused on cybersecurity and AI.…
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Mutual Fund Minute
1 Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part II 15:45
15:45 Redare mai Târziu Redare mai Târziu Liste Like Plăcut15:45
Redare mai Târziu Redare mai Târziu Liste Like PlăcutThis 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 oversight by fund directors, the SEC’s proposed mandatory swing pricing rule, issues relating to fund chief compliance officers, and the role that artificial intelligence plays in asset management.…
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Mutual Fund Minute
1 Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part I 13:58
13:58 Redare mai Târziu Redare mai Târziu Liste Like Plăcut13:58
Redare mai Târziu Redare mai Târziu Liste Like PlăcutThis 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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Mutual Fund Minute
1 AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part II 12:04
12:04 Redare mai Târziu Redare mai Târziu Liste Like Plăcut12:04
Redare mai Târziu Redare mai Târziu Liste Like PlăcutThis 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 in Sidley’s Securities Enforcement and Regulatory practice who focuses on securities and regulatory issues for broker-dealers, investment advisers, and mutual funds. Nathan, based in New York, heads Sidley’s Registered Funds practice.…
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Mutual Fund Minute
1 AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part I 12:06
12:06 Redare mai Târziu Redare mai Târziu Liste Like Plăcut12:06
Redare mai Târziu Redare mai Târziu Liste Like PlăcutThis 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 Regulatory practice who focuses on securities and regulatory issues for broker-dealers, investment advisers, and mutual funds. Nathan, based in New York, heads Sidley’s Registered Funds practice.…
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Mutual Fund Minute
1 Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part II 16:21
16:21 Redare mai Târziu Redare mai Târziu Liste Like Plăcut16:21
Redare mai Târziu Redare mai Târziu Liste Like PlăcutIn 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, including the SEC’s regulatory agenda, the role of AI in asset management, and ideas to modernize the Investment Company Act of 1940. Part 2 of 2 episodes.…
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Mutual Fund Minute
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 challenges that funds, independent directors, and investors face in the current regulatory environment. Part 1 of 2 episodes.…
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-Brexit world.
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Mutual Fund Minute
1 Chat With Commissioner Peirce, Part II 19:15
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Redare mai Târziu Redare mai Târziu Liste Like PlăcutSEC 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 Peirce discusses the SEC’s proposed safeguarding rule, the Supreme Court’s Howey test, CCO liability and the future of crypto regulation, regulation of non-bank financial institutions, and the future of SEC regulation, among other issues. You can listen to the first part here: A Chat With Commissioner Peirce, Part I .…
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Mutual Fund Minute
1 Chat With Commissioner Peirce, Part I 15:32
15:32 Redare mai Târziu Redare mai Târziu Liste Like Plăcut15:32
Redare mai Târziu Redare mai Târziu Liste Like PlăcutSEC 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, Commissioner Peirce discusses the SEC’s approval of 11 exchange-traded products that will trade in bitcoin, the SEC’s regulatory agenda, proposed rules regulating predictive data analytics, and the overall fast pace of rulemaking.…
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Mutual Fund Minute
1 Hedge Funds Trading Treasuries as Dealers 14:57
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Redare mai Târziu Redare mai Târziu Liste Like PlăcutAre 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 February 6, 2024, defining activities that require someone to register as a “dealer” or a “government securities dealer.” By a 3-to-2 vote, the SEC approved rules that would require anyone that engages in a “regular pattern of buying and selling securities” that has the effect of providing liquidity to other market participants to register as a dealer under the Securities and Exchange Act of 1934. These new rules likely will require certain private funds, and other institutional investors, to register as dealers and comply with all the regulation that follows. In this episode of the Mutual Fund Minute , Sidley partners Jay Baris and Charles Sommers discuss what these new rules will mean and why they are significant.…
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 this point, the Commission followed a long and rocky road. While the Commission’s approval was a cause for celebration in crypto world, and, of course, with bitcoin funds in waiting, it also left many people wondering why this took so long, while others said that the SEC’s approval could sacrifice investor protection. In this episode of the Mutual Fund Minute , host and Sidley partner Jay Baris discusses the process that led up to this milestone and what it means for investors.…
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Mutual Fund Minute
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 Act of 1974 (ERISA). If adopted as proposed, these rules would greatly expand the categories of investment advice that would be subject to ERISA’s fiduciary standards. In this episode of the Mutual Fund Minute , host and Sidley partner Jay Baris, and Beth Dickstein, a Chicago-based partner in Sidley’s Employee Benefits and Executive Compensation practice, look at how these new rules would affect investment advisers and investors.…
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