I’m attending a conference sponsored by IA Watch: Coping with Regulatory Change. These are my brief notes. Norm Champ, Investment Management Law Lecturer at Harvard Law School and former SEC IM Division Director, New York; and Robert Plaze, Partner, Stroock & Stroock & Lavan, Washington, D.C. came ready to talk about a broad range of … Read more »
Tag: Robert Plaze
Regulation of Investment Advisers
The Securities and Exchange Commission recently published a compendium describing the regulation of investment advisers: Regulation of Investment Advisers. It’s not light reading, but the 59-pages provide a helpful overview of investment adviser regulation. It comes from the Staff of the Investment Adviser Regulation Office in the Division of Investment Management. So it carries a … Read more »