April 8, 2019

SEC Director of Investment Management Dalia Blass Delivers Keynote Address at the ICI Mutual Funds and Investment Management Conference

On March 18, 2019, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Investment Company Institute (ICI) Mutual Funds and Investment Management Conference.

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April 8, 2019

SEC Commissioner Elad Roisman Delivers Keynote Address at the ICI Mutual Funds and Investment Management Conference

On March 18, 2019, SEC Commissioner Elad Roisman delivered a speech at the Investment Company Institute (ICI) Mutual Funds and Investment Management Conference.

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November 1, 2018

SEC Director of Investment Management Dalia Blass Delivers Keynote Address at the ICI Securities Law Developments Conference

On October 25, 2018, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Investment Company Institute (ICI) Securities Law Developments Conference.

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November 1, 2018

SEC Director of Investment Management Dalia Blass Delivers Remarks at IDC – 2018 Fund Directors Conference

On October 16, 2018, the SEC’s Director of the Division of Investment Management (Division), Dalia Blass, delivered a speech at the Independent Directors Council (IDC) 2018 Fund Directors Conference.

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September 18, 2018

Chairman Clayton Clarifies Role of SEC Staff Views

On September 13, 2018, Chairman Jay Clayton issued a statement indicating that all staff statements are nonbinding and do not create enforceable legal rights or obligations. The statement highlighted the distinction between the SEC’s rules and regulations, on the one hand, and staff views on the other.

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May 11, 2018

SEC Division of Investment Management Director Makes Remarks at the PLI 2018 Investment Management Institute Program

Dalia Blass, the SEC’s Director of Division of Investment Management (“IM”), made remarks at the Practicing Law Institute’s 2018 Investment Management Institute program in New York on April 30, 2018. She discussed the recent SEC rule proposals on the standards of conduct for investment professionals, which she said seek…

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June 29, 2016

SEC Chair White Urges Fund Boards to be Proactive Risk Monitors

In a keynote address at the Mutual Fund Directors Forum 2016 Policy Conference, Chair White discussed the evolution of the asset management industry, and noted that the role of mutual fund directors is evolving and should continue to evolve with the industry. Just as the SEC is recalibrating its regulatory program, Chair White said, fund directors also must adjust to growing responsibilities to ensure that funds are “fully addressing current and potential future risks.”

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June 27, 2016

SEC Chair Testifies before Congress on Upcoming Asset Management Rules

Testifying before the U.S. Senate Committee on Banking, Housing, and Urban Affairs (the “Committee”) on June 14, 2016, Securities and Exchange Commission (“SEC”) Chair Mary Jo White spoke to the “Oversight of the [SEC]” and the current work and initiatives underway at the agency, providing insight into the timing of major regulatory initiatives affecting the investment management industry.

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March 14, 2016

Investment Management Director Discusses Fund and Director Responsibilities

In remarks at the ICI’s 2016 Mutual Funds and Investment Management Conference, David Grim, the Director of the SEC’s Division of Investment Management, discussed his views on mutual fund boards’ responsibilities in light of recent events.

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March 3, 2016

Investment Management Director Discusses Division Priorities

In an address at the 2016 PLI Investment Management Institute, Director Grim, discussed the Division’s focus on rules concerning exchange-traded funds, improving the effectiveness of disclosure and developing guidance and policy to support the oversight function of fund boards.

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