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Podcast: Regulators Focus on Mutual Funds

Joe Mont | September 15, 2014

The SEC plans to develop rules that will require fund firms to disclose more about their portfolio holdings, ultimately ramping up the data it collects from the mutual funds to better monitor industry risk. This comes as the Financial Stability Oversight Council is said to be considering a move to designate some of the largest firms in the space as systemically important financial institutions.

In his week's podcast, we speak to Bibb Strench, counsel at law firm Seward & Kissel and a former attorney in the SEC’s Division of Investment Management, to get a handle on what this all means, and the effect that might be felt both by funds and the issuers whose securities are within them.


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