The SEC speaks, and CCOs listen.
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
Tag: Dalia Blass
The SEC speaks, and CCOs listen.
April 17, 2020
Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways
IM Division Director Blass Discusses Innovations and Areas of Future Focus
Dalia Blass, Director of the SEC’s Division of Investment Management, recently discussed innovations in the fund industry, modernization of regulations, and fund disclosure issues.
December 18, 2019
Tags: Bitcoin, Dalia Blass, Discosure, ETFs, SEC
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