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- Banca IMI Securities to Pay $35Mn for Improper Handling of ADRs in Continuing SEC Crackdown
- Members of White House ‘Arts Panel’ Resign En Masse in Protest of Trump
- FINRA Whiffs on Disciplinary Sanction: Bill Singer's 'Negligent Market Manipulation in OTC Stock Promotion'
- Heather Heyer’s Mother Says, ‘I’m Not Talking to the President’
- Goldman Sachs May Have Lost $100Mn on Energy Bet Gone Wrong
- SEC Drops Case Against Ex-JPMorgan Traders Over 'London Whale'
- Financial Advisers That Invest in Technology Need to Accomplish These Two Things
- FINRA Amends Codes Regarding Expedited Arbitrator List Selection
- FINRA July 2017 Quarterly Disciplinary Review (Podcast)
- Senior Exec in Citigroup's Equities Unit Has Left
- Prudential Plotting its Escape From Fed's Tough Oversight
- Why CEOs Spurned Trump's Business Councils, in Their Own Words
- A Stockbroker, Her LLC, and Her Customers' Loans (Or Investment?) - Bill Singer
- Brian Quintenz Sworn In as CFTC Commissioner
- A Gary Cohn Resignation Would 'Crash the Markets' – Mgmt Guru Jeffrey Sonnenfeld
- Trading Firm DRW to Buy RGM Advisors - As Low Volatility Forces Out Weak HFT Players (subsc reqd)
- Reputational Damage - Rajat Gupta on Hard Road to Recovery
- 7th Circuit Affirms Spoofing Conviction - Bill Singer
- Wells Fargo Announces Board Changes
- Judge Rules Against Ex-Goldman Employee in Fed Leak Case
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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)