We are pleased to announce that Proskauer has released Regulation of Investment Advisers by the U.S. Securities and Exchange Commission, by Robert E. Plaze, who recently joined Proskauer as a partner. Bob previously served as Deputy Director of the Division of Investment Management of the SEC. This publication, which draws on Bob’s nearly 30 years of service with the SEC, is the definitive outline summarizing SEC regulatory issues for Investment Advisers.
Regulation of Investment Advisers is regularly updated and covers extensive ground in key areas for fund managers. It synthesizes regulation of advisers by the SEC, identifies legal and regulatory precedents, and provides hyperlinks to the underlying authorities. We hope that you will find it to be a helpful resource.