Michael Manley

Michael ManleyMichael Manley is a partner at Venable and previously served as general counsel, Chief Compliance Officer and Secretary for CĪON Investment Management, LLC, a registered investment adviser and CĪON Investment Corporation, an externally managed, non-traded, business development company.

Mr. Manley was responsible for developing and implementing comprehensive compliance programs, including establishing corporate charters, corporate governance policies and various policies and procedures regarding code of ethics, insider trading, custody and SEC disclosure. He also negotiated agreements with swap counterparties, custodians, consultants, insurers and other fund providers. Additionally, Mr. Manley served as general counsel, chief compliance officer and secretary for both CĪON entities.

Mr. Manley previously worked at investment adviser Plainfield Asset Management and, as co-general counsel and chief compliance officer, managed the day-to-day legal and compliance affairs for Plainfield Direct, a business development company managed by Plainfield Asset Management.

two businessmen analyzing a financial report

Guidance from Director Dalia Blass Director Dalia Blass of the SEC's Division of Investment Management (the "Division") recently delivered the keynote address for the ICI 2018 Mutual Funds and Investment Management Conference.1 Director Blass discussed four main topics: (1) the role of data in the SEC's work, (2) the role of fund directors, (3) aspects of exchange-traded funds (ETFs) and (4) considerations related...

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Sign on the building of Financial Industry Regulatory Authority

Priorities Letter Outlines Areas of Focus Each year, the Financial Industry Regulatory Authority (FINRA) shares its regulatory and examination priorities for the coming year, highlighting both new and continuing areas of focus. In this post, experts from Venable LLP provide an overview of the most significant areas addressed in the 2018 letter. with co-authors D. E. (Ed) Wilson, Jr., Andrew E. Bigart...

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compliance and risk management priorities

FINRA announced its priorities for the year, which will drive examination and regulatory programs and significantly impact market participants focused on compliance, supervision and risk management. This article by Venable attorneys discusses FINRA's focus on five specific areas.

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