FacultyFaculty/Author Profile
David W. Blass

David W. Blass

Simpson Thacher & Bartlett LLP

Washington, DC, USA


David Blass is a Partner in Simpson Thacher & Bartlett LLP’s Investment Funds Practice. David is a leading regulatory lawyer in the funds industry and has advised on matters involving innovative registered funds products, Investment Advisers Act compliance, SEC examination and enforcement matters, and broker-dealer regulatory compliance.

Prior to joining Simpson Thacher, David served as General Counsel of the Investment Company Institute (ICI), where he was responsible for the full range of legal and regulatory matters affecting the asset management industry, including investment company, capital markets, pension and tax issues.

Before joining ICI, David held a number of senior positions for over a decade at the Securities and Exchange Commission. From 2011 to 2014, David was Chief Counsel and Associate Director of the SEC’s Division of Trading and Markets. In that role, David led a team of 45 attorneys responsible for legal and policy decisions on matters affecting the securities markets and broker-deals generally, and the private equity industry specifically. In that role, he authored several no-action letters, including an important letter for M&A brokers. Before that, he was the Associate General Counsel, advising the SEC Chair and Commissioners on legal policy matters for the agency’s asset management, trading and markets, examination and international programs. Previously, as Assistant Director in the SEC’s Division of Investment Management, he managed the office in charge of investment adviser regulation, which included private fund advisers. David has also spent time in private practice, having worked at two other international law firms.

David has a strong reputation as a thought leader and speaker. David has advocated for the asset management industry before countless domestic and international regulators, and he has testified on industry’s behalf before Congress. He is a sought-after speaker in asset management and broker-dealer conferences. He has written and delivered speeches outlining broker-dealer issues on transaction fees for the private equity industry and rulemaking impacting the asset management industry, including private funds and their advisers and the recent SEC suite of rulemakings targeting asset managers and funds.

David received his J.D. from Columbia University School of Law and his B.A. from the University of Alabama. David is admitted to practice in New York and the District of Columbia.
David W. Blass is associated with the following items:
Web Segment  Web Segment Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice - Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Friday, May 11, 2018
Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
MP3 Audio  MP3 Audio Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice - Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice, Friday, May 11, 2018
Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers - Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers, Monday, July 23, 2018
Transcripts  Transcripts Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice - Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice, Friday, May 11, 2018
Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers - Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers, Monday, July 23, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice - Recent Developments: Emerging Legislation and Regulations Dealing with Fiduciary Investment Advice, Friday, May 11, 2018
Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers - Who Is a Broker-Dealer? How Do Broker-Dealers Register? The Different Types of Broker-Dealers, Monday, July 23, 2018
On-Demand Web Programs  On-Demand Web Programs Financial Services Conflicts of Interest & Fiduciary Duties 2018: Navigating the Emerging Regulatory Maze, Thursday, May 17, 2018, New York, NY
Fundamentals of Broker-Dealer Regulation 2018, Monday, July 30, 2018, New York, NY
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