Episodes

  • Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part I
    Jul 22 2024

    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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    14 mins
  • AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part II
    Jul 1 2024

    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 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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    12 mins
  • AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part I
    Jun 18 2024

    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 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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    12 mins
  • Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part II
    May 16 2024

    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, 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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    16 mins
  • Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part I
    May 2 2024

    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.

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    9 mins
  • UK and EU Fund Regulation in a Post-Brexit World
    Apr 18 2024

    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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    9 mins
  • Chat With Commissioner Peirce, Part II
    Apr 8 2024

    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 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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    19 mins
  • Chat With Commissioner Peirce, Part I
    Mar 12 2024

    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, 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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    16 mins