Michael Mundt

Practice Areas

Mike is nationally recognized for his work in the area of exchange-traded funds (ETFs). He assists clients with all phases of the complex regulatory process required to introduce and operate index-based and actively managed ETFs, as well as next generation exchange-traded products. Among other novel products, Mike assisted with the legal work necessary to introduce exchange-traded managed funds and proxy portfolio ETFs. More generally, he counsels investment advisers and investment companies on a wide range of issues arising under the Investment Company Act of 1940 and other federal securities laws.

Prior to joining Stradley, Mike worked at the SEC for almost 14 years, ultimately serving as an Assistant Director in the Division of Investment Management. While at the SEC, Mike had a leading role in ETF policy issues and supervised the office that reviewed exemptive applications under the Investment Company Act. This experience gives him unique insight into the SEC regulation of the investment management industry.

Before working at the SEC, Mike served as assistant counsel at ICI Mutual Insurance Company, the captive insurance company for the mutual fund industry, where he worked on insurance and risk management issues for funds and their investment advisers.