Robert 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 Registered Funds Group.
At the SEC, Bob was responsible for policy development and management of the key regulatory initiatives affecting investment companies and investment advisers, including rules governing fund and adviser compliance programs, money market funds, fund corporate governance, personal trading, custody and brokerage practices, prohibitions on “pay to play” practices, and protection of investor privacy. After the passage of the Dodd-Frank Act, Bob was responsible for rulemaking requiring advisers to private funds to register with the SEC, providing new exemptions from registration and requiring reporting by certain exempt advisers.
Bob’s comprehensive outline of the SEC’s regulation of investment advisers is relied on by lawyers and compliance professionals throughout the industry.
Education
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Georgetown University, J.D.
cum laude
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Georgetown University, A.B.
Admissions & Qualifications
- District of Columbia
Memberships
American Bar Association
Awards & Recognition
Chambers Global: USA: Investment Funds: Regulatory & Compliance 2022-2023
U.S. Securities and Exchange Commission’s 2009 Distinguished Service Award
Chambers USA: Nationwide: Band 1, Investment Funds: Regulatory & Compliance 2020-2023
Chambers USA: Nationwide: Investment Funds: Registered Funds 2017-2020, 2022-2023
Best Lawyers in America 2018-2024
The Legal 500 US Investment Fund: Mutual/Registered/Exchange: Traded Funds 2023