Michael Mundt

Michael Mundt 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 (ETPs).

More generally, he counsels investment advisers and investment companies on a wide range of issues arising under the Investment Company Act of 1940 (1940 Act) and other federal securities laws.

Prior to joining Stradley Ronon, Mike worked at the U.S. Securities and Exchange Commission (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 1940 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 Co., the captive insurance company for the mutual fund industry, where he worked on insurance and risk management issues for funds and their investment advisers.