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Former SEC assistant director joins Stradley Ronon as partner in investment management and ETF groups

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Michael Mundt, former Securities & Exchange Commission assistant director of the Office of Investment Company Regulation, has joined Stradley Ronon as a partner in its nationally recognized 43-attorney investment management/mutual funds practice group. He will also work in the firm’s exchange-traded funds (ETFs) group and will be based in the firm’s Washington, DC, office.

While at the SEC, Mundt managed one of the offices that reviews applications for orders under the Investment Company Act of 1940. In particular, he supervised the review of applications to permit ETFs, and was involved with the regulatory review of all major ETF product innovations over the past 12 years. In recognition of his ETF work, Mundt received the SEC’s prestigious Paul R. Carey Award, which honors a staff member who demonstrates exceptional personal commitment on a significant policy matter. He was also a member of the SEC team that received the 2010 Chairman’s Award for Excellence for analyzing and responding to the market events of 6 May, 2010.

With more than 18 years of experience, Mundt will assist clients with complex legal issues under federal securities laws, with a particular focus on ETFs. Already known for its representation of investment company clients – with more than 700 separate funds and assets under management exceeding USD1 trillion – Stradley Ronon’s investment management group continues to grow to meet the changing needs of its client base. The practice has increased its attorney count from seven attorneys in 1994 to 43 attorneys today – all of whom are exclusively dedicated to serving investment management clients.

“We are excited to welcome an attorney of Mike’s caliber to the firm,” says Stradley Ronon Chairman William R Sasso. “His move to Stradley Ronon furthers our growth strategy, which is focused on the recruitment and retention of quality lawyers with the industry-specific expertise needed by our clients.”

“Mike’s extensive knowledge of federal securities laws will strengthen our deep bench of ‘40 Act specialists,” says Stradley Ronon Investment Management/Mutual Funds Practice Group Chair Bruce Leto. “His unique ETF experience will be a huge asset to clients who need help navigating complex regulatory and market environments in which ETFs are developed, launched and operated.”

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