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 … WebbReforming the Regulation of Broker-Dealers and Investment Advisers By Arthur B. Laby* A key component of financial regulatory reform is harmonizing the law governing broker-dealers and investment advisers. Historically, brokers charged commissions and were regu-lated under the Securities Exchange Act of 1934. Advisers charged asset-based …
Regulation of Investment Advisers by the U.S. Securities
WebbIt is the client, not the adviser, who is entitled to make the determination whether to waive the adviser’s conflict.”). 233 Advisers Act Rel. No. 3222, supra note 129 at n.434 and accompanying text (“Although a person is not an ‘investment adviser’ for purposes of the Adviser Act unless it receives compensation for providing advice to others, once a … http://www.brightlinesolutions.com/files/Plaze/Staff%20Legal%20Bulletin%20No.%2024.pdf github dbt snowflake
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WebbThe Securities and Exchange Commission (“SEC”) has required investment advisers under its regulatory purview to adopt and implement written policies and procedures … Webb1. Explain the concepts of “investment adviser” and “investment company” under the relevant federal legislation. 2. Identify the historical and contemporary rationale for federal regulation of investment advisers and investment companies. 3. Distinguish between the kinds of investment vehicles that are subject to federal regulation as ... github dbzfs