Robert E. Plaze is a partner at Proskauer Rose LLP. He advises investment advisers and investment companies on an array of matters, with a particular focus on regulatory and compliance matters arising under the federal securities laws.
Before entering private practice, Mr. Plaze served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. During his nearly 30 years of service with the Commission, he was responsible for policy development and management of many of the key regulatory initiatives during that period affecting investment companies, hedge funds, and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. These including rules governing adviser compliance programs, personal trading, custody and brokerage practices, prohibitions on “pay to play” practices, and protection of investor privacy. After the enactment of the Dodd-Frank Act, Mr. Plaze was responsible for rulemaking to implement provisions affecting investment advisers, including rules requiring advisers to hedge funds and other private funds to register with the Commission, rules implementing new exemptions from registration and rules requiring reporting by certain exempt investment advisers.
He serves as chairman of the Investment Management Committee of the District of Columbia Bar Association.
Robert Plaze will be speaking at:
Advisers, Funds and Hedge Funds
2020/09/16 14:50 - 15:40
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