Added Perspective

Best protections for fund directors from SEC exams and enforcement

October 23, 2025

By Stradley Ronon

In the latest episode of Stradley Ronon's "Talking Investment Management" podcast, partners and former SEC staff members David Grim and Jan Folena are joined by Andrew (Buddy) Donohue, a former chief of staff for the 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.

 

The conversation covers:

 

  • 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.

 

Listen here.

 

 

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