Dalia Blass, director of the SEC’s division of investment management, will leave the agency in January.
She has led the division since September 2017, overseeing more than 70 regulatory initiatives affecting investment companies and investment advisers, the Securities and Exchange Commission said in a release.
Among many accomplishments during Blass’ tenure, the SEC said, the division recommended that the commission authorize new, actively managed ETF models that do not publish their portfolio holdings daily, updated the framework for regulating fund-of-funds arrangements, and modernized the registration, offering and communications processes for business development corporations and closed-end funds.
From 401(k)s to retail funds, Deloitte sees private equity and credit crossing into mainstream investing on two fronts at once.
Big-name defections from Morgan Stanley, UBS, and Merrill Lynch headline a busy two weeks of recruiting for the wirehouse.
Markets have always been unpredictable. What has changed is the amount of information investors are trying to process and the growing role advisors play in helping clients avoid emotional decisions
Six apartment deals, one "big account," and $2.7M in undocumented insider loans. Now the lawsuit lands
The Illinois order refers to Brandon Ellington’s investment program as a “Ponzi-like scheme.”
Wellington explores how multi strategy hedge funds may enhance diversification
As technical expertise becomes increasingly commoditized, advisors who can integrate strategy, relationships, and specialized expertise into a cohesive client experience will define the next era of wealth management
