WebbRobert Plaze advises investment advisers, investment companies, hedge funds, private equity funds and their service providers on regulatory and compliance issues under the federal securities laws. Following nearly 30 years in the SEC’s Division of Investment Management, most recently as Deputy Director, Bob is a partner in Proskauer’s … WebbRobert E. Plaze is a partner in the Washington office of Proskauer Rose LLP. He advises investment advisers, investment companies, hedge funds, private equity funds and their …
Information to Assist Persons Applying for an Investment Adviser ...
WebbRobert Plaze advises investment advisers, investment companies, hedge funds, private equity funds and their service providers on regulatory and compliance issues under the … Webb1 sep. 2024 · The Handbook covers extensive ground in key areas for fund managers, including adviser registration, required reporting, and substantive requirements under … challenge the shattered d2
Family Offices: Structuring for Investment Adviser Compliance
Webb9 mars 2024 · Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice, Investment Advisers Act Release No. 5833 (Aug. 27, 2024) … WebbContact. For more information or assistance, contact us at: Connecticut Department of Banking. Securities Division. 260 Constitution Plaza. Hartford, CT 06103-1800. Telephone: (860) 240-8230 or toll-free 1-800-831-7225. E-mail: [email protected]. http://www.brightlinesolutions.com/files/Plaze/Release%20IA-1633%20Regulatory%20Responsibilities.pdf challenge the shattered daily bounty