Investment Management Archives - The Industry Spread

Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management

April 18, 2019

The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and staff that are responsible for responding to requests for legal and policy guidance, evaluating applications for exemptive relief, coordinating international and legislative technical assistance, and running the division’s enforcement liaison program. Ms. Cortes will oversee the exemptive applications program and Mr. Bartels will oversee the enforcement liaison program. They will share responsibility for staff legal guidance by the Chief Counsel’s Office.

LSEG: Information Services Division Leadership Appointments

January 25, 2019

London Stock Exchange Group announces that Waqas Samad is appointed Group Director of the Information Services Division (“ISD”) and a member of the LSEG Executive Committee, effective immediately. He will report to David Schwimmer, CEO, LSEG.

Alliancebernstein Selects ICE Liquidity Indicatorstm for Investment Management, Risk Management, and Regulatory Compliance

December 8, 2018

Intercontinental Exchange, Inc. (NYSE:ICE), a leading operator of global exchanges and clearing houses and provider of data and listings services, announced that AllianceBernstein L.P. (“AB”) has selected ICE Data Services’ ICE Liquidity IndicatorsTM service to help support AB with its investment management, liquidity risk management and regulatory compliance obligations.