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- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
- FINRA Looking Into VIX (CBOE Volatility Index) Manipulation: WSJ
- Atlanta-Area Resident Charged with Misusing Investor Funds - SEC
- FINRA Announces 2018 West Region Networking Seminar
- Alberto Arevalo, Associate Director in Office of International Affairs, to Retire From SEC
- A Culprit for Financial Site Glitches: You and Your Apps
- Investor Protection, Capital Formation and Market Integrity Are Top Priorities in SEC Budget Request
- We Must Stop Out-Of-Control Trading or U.S. Capitalist System Will Break Down - Dick Bove
- SEC Launches Share Class Selection Disclosure Initiative to Encourage Self-Reporting and the Prompt Return of Funds to Investors
- BofA CEO Moynihan Got $23Mn Compensation for 2017 – a 15% Pay Raise
- Former Credit Suisse ‘Star’ Gets 5-Year Jail Term For "Clever Fraud"
- FINRA: Perspectives on Customer Arb Award Recovery
- FINRA: Amend Membership App Program to Incentivize Arbitration Award Payments
- Goldman's #2 Allegedly Swindled Out of $1.2Mn of Wine by Assistant
- FINRA Publishes Annual Budget Summary - No Fee Rate Increases for Member Firms
- CFTC Chairman Giancarlo Names Maggie Sklar Senior Counsel
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NEWSLETTERS & ALERTS
SEC Selects Dalia Blass to Head Investment Management Division
The SEC will name Dalia Blass as Director of the Division of Investment Management. Ms. Blass, counsel with Ropes & Gray, had previously served with the SEC, including a stint in the Investment Management division. David Grim, a career SEC attorney, currently serves as acting Director of the division.
Ms. Blass' husband, David Blass, is a partner with Simpson Thacher. Prior to joining the law firm, he served as general counsel for the Investment Company Institute (ICI), the leading mutual fund trade group.
DALIA BLASS PROFILE. According to the Ropes & Gray site, Ms. Blass is a counsel in Ropes & Gray’s investment management practice group. She focuses on advising investment companies, investment advisers, fund sponsors and trustees on a variety of SEC regulatory and compliance matters, with a particular emphasis on ETFs, new investment products and business development companies. Dalia has extensive knowledge of the regulatory requirements of the asset management industry having held senior management positions for over a decade at the SEC’s Division of Investment Management, most recently as assistant chief counsel in the Division’s Chief Counsel office.
According to the LinkedIn site, Ms. Blass served in the following positions prior to her joining Ropes & Gray:
- SEC – Assistant Chief Counsel, Investment Management Div. (11/13 - XXXx)
- SEC – Assistant Director, Investment Management Div. (10/13 – 11/13)
- SEC – Branch Chief, (7/10 – 9/11)
- SEC – Senior Counsel (12/04 – 11/08)
- Shearman & Sterling – Associate (1999 – 2003)
- Columbia University Law – JD (1999)