Mutual Fund Minute
Episodes
SEC Staff Guidance: Can State-Chartered Trust Companies Custody Digital Assets?
18 Nov 2025
Contributed by Lukas
Are state-chartered trust companies "banks" that can custody digital assets for investment advisers and funds? In this episode of Mutual Fun...
What You Need to Know About ETF Share Classes
12 Nov 2025
Contributed by Lukas
In this episode of Mutual Fund Minute, Sidley Investment Funds partner Matthew Kutner joins host Jay Baris to tell you what you need to know about reg...
Discussing Developments in the UK and EU’s Asset Management With Sidley’s Leonard Ng
02 Sep 2025
Contributed by Lukas
In this episode of Mutual Fund Minute, Leonard Ng, head of the firm’s UK/EU Financial Services Regulatory group, joins host Jay Baris to discuss dev...
BDC and Interval Fund Co-Investment Relief: A Conversation With Sidley’s Nathan Greene
12 Jun 2025
Contributed by Lukas
In this episode of Mutual Fund Minute, Nathan Greene, Sidley partner and leading regulatory lawyer , joins host Jay Baris to discuss how the Securitie...
Reimagining the Investment Company Act of 1940, Part II
17 Mar 2025
Contributed by Lukas
In this episode of Mutual Fund Minute, Paul Cellupica, the General Counsel of the Investment Company Institute, and host Jay Baris continue to analyze...
Reimagining the Investment Company Act of 1940, Part I
14 Feb 2025
Contributed by Lukas
In this episode of Mutual Fund Minute, Paul Cellupica, the General Counsel of the Investment Company Institute, joins Sidley’s Jay Baris to discus...
Discussing AI, Data, and Cyber Regulation in Europe With Sidley’s William Long, Part II
05 Dec 2024
Contributed by Lukas
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 ...
Discussing AI, Data, and Cyber Regulation in Europe With Sidley’s William Long, Part I
01 Nov 2024
Contributed by Lukas
This week on Mutual Fund Minute, Sidley partner Jay Baris talks with William Long, the global co-chair of Sidley’s Privacy and Cybersecurity pract...
Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part II
21 Aug 2024
Contributed by Lukas
This week on Mutual Fund Minute, Sidley partner Jay Baris and Carolyn McPhillips, President at the Mutual Fund Directors Forum, continue celebrating t...
Mutual Fund Directors Forum’s Carolyn McPhillips Celebrates the 100th Anniversary of the Mutual Fund, Part I
22 Jul 2024
Contributed by Lukas
This week on Mutual Fund Minute, Carolyn McPhillips, President at the Mutual Fund Directors Forum, joins Sidley partner Jay Baris to celebrate the 100...
AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part II
01 Jul 2024
Contributed by Lukas
This week on Mutual Fund Minute, Jay Baris continues his conversation about the growing interest in artificial intelligence for investment managers wi...
AI for the IA and the BD – What Advisers, Broker-Dealers and Fund Directors Should Know About Artificial Intelligence, Part I
18 Jun 2024
Contributed by Lukas
This week on Mutual Fund Minute, Jay Baris talks about the growing interest in artificial intelligence with Sidley’s Hardy Callcott and Nathan Green...
Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part II
16 May 2024
Contributed by Lukas
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...
Eric Pan of Investment Company Institute – 100th Anniversary of the Mutual Fund, Part I
02 May 2024
Contributed by Lukas
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...
UK and EU Fund Regulation in a Post-Brexit World
18 Apr 2024
Contributed by Lukas
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 g...
Chat With Commissioner Peirce, Part II
08 Apr 2024
Contributed by Lukas
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 inve...
Chat With Commissioner Peirce, Part I
12 Mar 2024
Contributed by Lukas
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...
Hedge Funds Trading Treasuries as Dealers
04 Mar 2024
Contributed by Lukas
Are you now a securities dealer? The Securities and Exchange Commission (SEC) blurred the distinction between who is an investor or mere trader and wh...
A Milestone for the SEC and Bitcoin Investors
05 Feb 2024
Contributed by Lukas
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 multipl...
DOL Fiduciary Proposal
19 Jan 2024
Contributed by Lukas
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 whe...
FSB Risks of Nonbank Financial Institutions
03 Jan 2024
Contributed by Lukas
The Financial Stability Board, or FSB, is laser-focused on money market funds, mutual funds, and private funds. Specifically, the FSB is concerned tha...
Why Me? How the SEC Decides Which Investment Adviser to Examine
06 Dec 2023
Contributed by Lukas
Why me? And why now? That is usually the first thing an investment adviser asks when the Securities and Exchange Commission’s Division of Examinatio...
What’s in a Name, Part II
13 Nov 2023
Contributed by Lukas
Naming a registered investment company will become more challenging now that the Securities and Exchange Commission has significantly broadened the sc...
About Nonbank Financial Companies
20 Oct 2023
Contributed by Lukas
Federal regulators propose to make it easier to designate a nonbank financial company as a systemically important financial institution that could thr...
Managing Counterparty Risk: Five Steps Funds and Advisers Can Take Now
03 Oct 2023
Contributed by Lukas
The recent collapse of several high-profile banks has amplified concerns among money managers and fund directors about counterparty risk. What should ...
Money Market Fund Reform – Without Swing Pricing
20 Sep 2023
Contributed by Lukas
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...
Conflicts of Interest Involving Covered Technology
28 Aug 2023
Contributed by Lukas
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 ...
Service Providers as Investment Advisers
23 Aug 2023
Contributed by Lukas
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 ...
SEC Safeguarding Rule
23 Aug 2023
Contributed by Lukas
The Securities and Exchange Commission has proposed sweeping new rules to address how investment advisers safeguard client assets. In this episode of ...
SEC Regulatory Agenda Spring 2023
23 Aug 2023
Contributed by Lukas
The SEC continues its breathtaking pace of rulemaking that touches funds, their independent directors, investment advisers, and other service provider...
Regulation Best Execution
23 Aug 2023
Contributed by Lukas
The SEC proposed rules for best execution of securities trades by broker dealers. In this Mutual Fund Minute, Sidley's Jay Baris talks with fello...
SEC Proposes ESG Disclosures for Investment Advisers and Investment Companies
23 Aug 2023
Contributed by Lukas
Listen here as Investment Funds partner Jay Baris and Ranah Esmaili, a partner in Sidley's Securities Enforcement and Regulatory practice, discus...
Artificial Intelligence for Funds and Advisers
23 Aug 2023
Contributed by Lukas
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 an...
Investment Companies as Commodity Pools – What Are the Compliance Pitfalls?
23 Aug 2023
Contributed by Lukas
Listen here as Jay Baris and Nathan Howell, partners in Sidley’s Investment Funds group, unravel the regulatory mysteries of how mutual funds, ETFs,...
The Role of Mutual Fund Directors
23 Aug 2023
Contributed by Lukas
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 regula...
SEC 2023 Examination Priorities
23 Aug 2023
Contributed by Lukas
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s Division of Examinations examination priorities for 20...
The SEC’s Proposed Swing Pricing and Hard Close Rules
23 Aug 2023
Contributed by Lukas
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the proposed “swing pricing” and “hard close” requirements...
The SEC’s Regulatory Agenda – What’s in Store for Funds and Advisers
23 Aug 2023
Contributed by Lukas
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 ...
SEC Revises Fund Shareholder Reports – What That Means for Funds and Investors
23 Aug 2023
Contributed by Lukas
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...
What’s in a Name?
23 Aug 2023
Contributed by Lukas
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC proposal to expand the “names rule” to cover investmen...