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Talking Investment ManagementAuthor: Stradley Ronon Podcasts
Join Stradley Ronon lawyers as they discuss key topics in the investment management industry.Stradley.com Language: en Genres: Business News, News, News Commentary Contact email: Get it Feed URL: Get it iTunes ID: Get it |
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Best Protections for Fund Directors from SEC Exams and Enforcement – Looking Back and Ahead
Episode 11
Thursday, 23 October, 2025
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.
