In this episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, for a timely conversation with Michelle Heisner, Partner at Baker McKenzie LLP and a member of the Firm's Global Corporate and Securities Practice Group.

With the SEC keeping law firms and GCs on their toes this summer, this episode dives into three key themes: tighter disclosure requirements, increased scrutiny on foreign issuers, and the ongoing uncertainty surrounding ESG regulations. One key takeaway: If you're advising issuers, now is the time to revisit your disclosure playbook. The SEC is signaling change, and companies that adapt early will be better positioned for what's ahead.

Tune in for key insights on how these developments are shaping the regulatory landscape

Past Episodes of this Series:

AI in the Investment Adviser Industry (7/16/25)

Harnessing AI: What Attorneys and Financial Industry Professionals Need to Know (6/18/25)

SEC Leadership, Crypto Policy, and FINRAs Regulatory Refresh (5/21/25)

New Leadership, New Priorities: Paul Atkins at the SEC (4/23/25)

How the New Administration and Congress Will Shape the SEC (3/26/25)

Reflecting on 30 years of the Private Securities Litigation Reform Act (2/26/25)

Insights on SEC Transition and Policy Priorities with Pete Driscoll (2/5/25)

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

In the latest episode of the series, "Intersections: Energy and Environmental Issues in Law and Tech," Cathy Pagano of the Women's Bar of Association of D.C. (WBA) interviews Cindy McCabe, Director of Renewable Energy Programs at the Montgomery County Green Bank, located in Maryland. Cindy explains all about Green Banks, and she shares her office's efforts to accelerate energy efficiency, renewable energy, and resiliency investment in Montgomery County, MD. Cindy also discusses how this Green Bank got started and how others can work to start local Green Banks in their areas.

Please note, the positions and opinions expressed by the speakers are strictly their own, and do not necessarily represent the views of their employers, nor those of the D.C. Bar, its Board of Governors or co-sponsoring Communities and organizations.

In this episode of Season 2, A. Valerie Mirko, Partner at Armstrong Teasdale LLP and leader of the firm’s Securities Regulation and Litigation Practice, joins William Nelson, Director of Public Policy and Associate General Counsel at the Investment Adviser Association, for a timely conversation with Kate Ring, Chief Compliance Officer at Stash Financial. Stash is a fintech platform serving over 1.3 million customers with $4.1 billion in assets under management (AUM) - on a mission to help everyday Americans invest and build better financial futures.

Building on our June episode regarding artificial intelligence (AI), this conversation examines how AI is reshaping the investment adviser industry—spotlighting key opportunities, emerging risks, and what effective oversight entails. A key takeaway: while AI has the potential to significantly boost efficiency, it must be carefully supervised to ensure it supports - not replaces - human judgment. The goal is AI-assisted human efficiency.

Kate shares practical insights from her experience overseeing compliance and risk across Stash’s diverse business lines, offering guidance for CCOs on how to effectively understand and supervise the use of AI tools. Her advice focuses on supporting responsible implementation that aligns with both business objectives and regulatory expectations.