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- Credit Suisse Fully Compliant on Sanctions: CEO
- Ex-UBS Metals Trader Beats Spoofing Conspiracy Charge
- Investment Advisor, WCAS Management Corp, To Pay Nearly $800K Over Conflicts of Interest
- Altaba, fka Yahoo!, to Pay $35Mn for Failing to Disclose Massive Cybersecurity Breach - SEC
- SEC Formerly Bars Martin Shkreli from Industry
- HF Billionaire Steve Cohen Buying Into Fintech Start-Ups
- Deutsche Bank Is Weighing Massive Cuts in Its U.S. Cash Equities Unit
- Richard Jenrette, Co-Founder of DLJ Investment Bank, Dies at 89
- Goldman Sachs Makes First Hire in Cryptocurrency Markets Unit
- Special FINRA Election to Fill Large Firm Governor Vacancy
- Chicago-Based Investment Adviser Sentenced to 151 Months in Prison - SEC
- Dun & Bradstreet Hit With FCPA Violations - SEC
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
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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)