- Honors & Awards
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- Honors & Awards
Robert Plaze is one of nine corporate partners and counsel with principal responsibility for our ongoing representation of nearly 850 mutual funds, closed-end funds, ETFs and business development companies (or their independent board members), as well as investment advisers and other industry service providers. Our clients represent over $1.4 trillion in assets under management (over 7.5% of U.S. investment company assets) that reside in approximately 30 different fund complexes, many of which are household names (e.g., Dreyfus, iShares, Lazard, Legg Mason) or managed by industry leaders within their asset classes or investment strategies (e.g., Apollo, BlackRock, Harding Loevner, Macquarie, Third Avenue, UBS A&Q).
Mr. Plaze counsels investment advisers and investment companies on regulatory and compliance matters arising under the federal securities laws. Before joining Stroock, he served as Deputy Director of the Division of Investment Management of the U.S. Securities and Exchange Commission. During his nearly 30 years of service with the Commission, Mr. Plaze was responsible for policy development and management of many of the key regulatory initiatives during that period affecting investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, including rules governing fund and adviser compliance programs, fund corporate governance, personal trading, custody and brokerage practices, prohibitions on "pay to play" practices, and protection of investor privacy. Most recently, Mr. Plaze was responsible for rulemaking to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting investment advisers, including rules requiring advisers to hedge funds and other private funds to register with the Commission, rules implementing new exemptions from registration and rules requiring reporting by certain exempt investment advisers.
Mr. Plaze is one of the nation's leading experts in the regulation of money market funds. While a Commission official, Mr. Plaze was responsible for the Commission's money market regulatory program, including amendments to rule 2a-7 adopted in 1991, 1996 and 2010. He represented the Commission on several interagency committees of the Financial Stability Oversight Board dealing with systemic risk issues and the regulation of money market funds.
Mr. Plaze joined the Commission in 1983 as an attorney in the Division of Investment Management. During his tenure with the Commission, he held several positions of responsibility in the Division, including Special Counsel, Assistant Director, Associate Director for Regulatory Policy and Deputy Director.
HONORS & AWARDS
Over the last several years, Mr. Plaze has been recognized or recommended by several industry publications for his work. He is recognized by Chambers USA: America's Leading Lawyers for Business in the practice area of Investment Funds: Registered Funds and nationally recommended by The Legal 500 United States in the category of Investment Fund Formation and Management: Mutual/Registered Funds. Mr. Plaze is also listed in The Best Lawyers in America
In 2009, he was the recipient of the U.S. Securities and Exchange Commission's Distinguished Service Award.
- Member, District of Columbia Bar
- Chairman, Investment Management Committee
- Member, American Bar Association
ADMITTED TO PRACTICE
District of Columbia
J.D., cum laude, Georgetown University Law Center, 1983
A.B., Georgetown University, 1978
NEWSBack To Full Bio
Robert E. Plaze quoted in "SEC Blesses Negotiable Mutual-Fund Fees"
January 11, 2017|As mentioned in: The Wall Street Journal
Robert E. Plaze quoted in "With Time Running Out, Industry Forges Ahead on Sales Pricing Reform"
December 9, 2016|As mentioned in: Ignites.com
Robert E. Plaze quoted in "Trump Revives 'Triple-X' ETFs That Regulators Wanted to Kill"
December 7, 2016|As mentioned in: TheStreet.com
Robert E. Plaze quoted in "Ernst & Young SEC Case Raises Questions Over Auditor Impartiality"
October 3, 2016|As mentioned in: Inside Counsel
47 Stroock Partners and Counsel Named to Best Lawyers in America for 2017
August 15, 2016 |Press Release
Robert E. Plaze quoted in "Obscure Rule to Fix $2.7 Trillion Market Draws Tireless Opponent"
August 3, 2016|As mentioned in: Bloomberg
Stroock Attorneys and Practices Recommended by The Legal 500 United States 2016
June 15, 2016|Press Release
Robert E. Plaze quoted in "Regulators Scrutinize PwC's Ties to Funds"
June 14, 2016|As mentioned in: Dow Jones Institutional News
Stroock Ranked By Chambers USA For 2016
May 27, 2016 |Press Release
Robert E. Plaze quoted in "MetLife Case Could Temper Future FSOC SIFI Determinations"
May 5, 2016|As mentioned in: Money Market Insight
Robert E. Plaze quoted in "Why SEC Fiduciary Rule May Be 'Unattainable'"
March 10, 2016|As mentioned in: ThinkAdvisor
Robert E. Plaze quoted in "Gross Doesn't Let SEC Guidelines Stand in Way of Big Bond Bets"
November 20, 2015|As mentioned in: Bloomberg
Robert E. Plaze quoted in "SEC Approves Stripping Credit Rating References from MMF Rule"
September 17, 2015|As mentioned in: The Bond Buyer
Robert E. Plaze quoted in "Fund Investors May Pay Fees for Withdrawals Amid Turmoil"
September 11, 2015|As mentioned in: Bloomberg
45 Stroock Partners and Counsel Named to Best Lawyers in America for 2016
August 17, 2015
Stroock Increases Number of Attorneys and Practices Recommended by The Legal 500 United States 2015
June 3, 2015
Robert E. Plaze quoted in "SEC Said to Propose That Mutual Funds Disclose Risk of Rate Rise"
May 19, 2015|As mentioned in: Bloomberg
Robert E. Plaze quoted in "Government proposes rules for brokers on retirement accounts"
April 15, 2015|As mentioned in: Rapid News Network
Robert E. Plaze quoted in "While Regulators Fiddle, Avoid Getting Burned"
March 20, 2015|As mentioned in: The Wall Street Journal
Robert E. Plaze quoted in "SEC Probe Of Murky Fund Fees Sparks Cry For Rule Clarity"
March 11, 2015|As mentioned in: Law360
35 Stroock Partners and Counsel Named to Best Lawyers for 2015
August 18, 2014
Stroock & Stroock & Lavan LLP, a national law firm with offices in New York, Los Angeles, Miami, and Washington, DC announced that 35 attorneys across 25 practice areas have been selected by their peers for inclusion in the 2015 edition of The Best Lawyers in America® ("Best Lawyers®").
Click here to read the full press release.
Stroock Attorneys and Practices Ranked by The Legal 500 United States 2014
June 25, 2014
Stroock & Stroock & Lavan LLP, a national law firm with offices in New York, Los Angeles, Miami and Washington, DC, announced that it has once again been recognized in The Legal 500 United States with 27 attorney and 8 practice area rankings.
Money Fund Intelligence: Plaze Says Doing Nothing Better Than SEC Proposals
April 2014|As mentioned in: Money Fund Intelligence
Stroock & Stroock & Lavan Opens Washington, DC Office
May 29, 2013
Stroock & Stroock & Lavan Opens Washington, DC Office: Experienced Partners in National Security/CFIUS and Investment Management to Lead DC Expansion.
PUBLICATIONSBack To Full Bio
"SEC Issues Final Rules on Liquidity Risk Management, Reporting Modernization and Swing Pricing"
October 18, 2016|Stroock Special Bulletin
- “SEC Updates its Focus on Business Continuity and Transition Plans”August 25, 2016|Wall Street Technology Association - Ticker e-Zine
- "SEC Focuses on Business Continuity and Transition Plans: Implications for Registered Investment Advisers and Funds and Their Critical Service Providers"August 2, 2016|Stroock Special Bulletin
- "Final Fiduciary Rule Means ERISky Business: Will BICkering Follow?"April 19, 2016|Stroock Special Bulletin
- "D.C. Circuit Vacates District Court Decision Refusing to Approve Fokker’s Deferred Prosecution Agreement with the Department of Justice and Clarifies the Standard for Evaluating Deferred Prosecution Agreements"April 7, 2016|Stroock Special Bulletin
- "Fund directors: What do you need to know about cross trades?"September 23, 2015|Fund Board Views
- "FinCEN Proposes AML Regulations for Registered Investment Advisers"September 11, 2015|Stroock Special Bulletin
- "Commissioner Gallagher's Dissent in SEC Enforcement Action Against Hedge Fund Manager Misses the Mark"July 30, 2015|Hedge Fund Law Report
- "Understanding the Investment Adviser Custody Rule Part II: Safekeeping Requirements"April 22, 2015|The Review of Securities and Commodities Regulation
- "SEC Announces First Whistleblower Protection Case Based on Confidentiality Agreement:
Employers Take Note – Do Your Employment-Related Documents Impede Employees’ Ability to Engage in Whistleblowing Process?"April 8, 2015|Stroock Special Bulletin
- "Understanding the Investment Adviser Custody Rule: Part I – Determining Custody"March 18, 2015|The Review of Securities and Commodities Regulation
- "Effective Date for Money Market Fund Reforms Arrives: Implications for Funds, their Boards and Advisers"October 14, 2014|Stroock Special Bulletin
- "Unintended Consequences of SEC’s Floating NAV"September 11, 2013|Ignites
- "SEC Enacts Final Rules to Disqualify Certain 'Bad Actors' from Conducting Private Placements Under Rule 506"August 6, 2013|Stroock Special Bulletin
- "SEC Adopts New Private Placement Rules Allowing Issuers to Engage in General Solicitations"August 1, 2013|Stroock Special Bulletin
- "Potential Overhaul of Money Market Funds Regulation: A Summary of the SEC Proposal and Discussion of Its Potential Implications"July 19, 2013|Stroock Special Bulletin
- "The Dangers of Money Fund Liquidity Fees"July 3, 2013|Ignites
- "SEC Settles with Former Morgan Keegan Fund Directors"June 25, 2013|Stroock Special Bulletin
EVENTSBack To Full Bio
Financial Research Associates' Investment Performance, Risk, and Attribution Forum
March 28-29, 2017
IAA's Investment Adviser Compliance Conference
March 2-3, 2017
'40 Acts Committee: "The DOL Fiduciary Rule:Some '40 Act Perspectives"
June 14, 2016
MFDF Webinar: "SEC Questions Fund Auditor Independence"
June 9, 2016
National Society of Compliance Professional’s Spring Conference
May 17, 2016
Investment Adviser Association's 2016 Investment Adviser Compliance Conference
March 10-11, 2016
Practising Law Institute's Investment Management Institute 2016
March 3-4, 2016
D.C. Bar's SEC Derivatives Rule Proposal: A Panel Discussion with Key SEC and Industry Lawyers
March 1, 2016
Ascendant’s Webinar “Custody in an Evolving World”
January 28, 2016
IA Watch and Buyouts Insider's Coping With Regulatory Change: What's Next in IA Compliance
November 17, 2015
Journal of International Commercial Law's "Current Issues in Securities Law"
November 13, 2015
National Society of Compliance Professionals National Conference
November 1-4, 2015
Corporate Counsel’s Hedge Fund General Counsel and Compliance Officer Summit
October 19-20, 2015
Investoregulation's SEC Regulation Outside the United States
September 28-30, 2015
Institute for the Fiduciary Standard's Fiduciary Duty and the Investment Advisers Act of 1940 at 75
August 11, 2015
Securities Experts Roundtable's 23rd Annual Conference and Membership Meeting
August 7-8, 2015
Financial Research Associates Investment Advisor Compliance Summit
July 15-16, 2015
Crane’s Money Fund Symposium
June 24-26, 2015
CompliGlobe's U.S. Compliance for Swiss Advisers
June 16, 2015
IAA's Duties and Responsibilities of Compliance Officers
May 28, 2015
First Clearing's Compliance & Risk Management Forum
April 9-10, 2015
D.C. Bar's Straight Talk for Asset Managers and Their Counsel
April 7, 2015
Investment Adviser Association's 2015 Investment Adviser Compliance Conference
March 5-6, 2015
IA Watch's IA Compliance Conference: The Full 360° View
February 25-27, 2015
Kinetic Partners Topics in SEC Enforcement: What you need to know
February 25, 2015
32nd Annual Conference on Life Insurance Company Products: Featuring Current SEC, FINRA, Insurance, Tax, and ERISA Regulatory and Compliance Issues
November 12-14, 2014
Kinetic Partners: New York Launch of the Global Regulatory Outlook 2015
October 29, 2014
2014 NSCP National Conference
October 20-October 22, 2014
"SEC Regulation Outside the United States" London, England
October 15, 2014
2014 TD Ameritrade Institutional Fiduciary Leadership Summit
September 16th, 2014
ABA Business Law Section Annual Meeting 2014
September 11-13, 2014
CompliGlobe: U.S. Compliance for U.K Advisers
June 27, 2014
CompliGlobe: U.S. Compliance for Swiss Advisers
June 26, 2014
2014 MMI Compliance & Legal Seminar
June 11, 2014
Investment Management Consultants Association: 2014 Annual Conference
May 4-7, 2014
Goldman Sachs Asset Management Global Liquidity Summit
April 9-10, 2014
GAIM Ops Cayman 2014
April 7-9, 2014
International Bar Association: 15th Annual International Conference on Private Investment Funds
March 9-11, 2014
Investment Adviser Association Compliance Conference
March 6-7, 2014
What's Up with the Treasury Report on the Asset Management Industry?
December 17, 2013
Frankel Fiduciary Prize Symposium: Capital Gains Research Bureau v. SEC, Fifty Years Later
December 10, 2013
Current Compliance Developments for Advisers
Monday, December 9, 2013
"SEC Regulation Outside the United States"
London, EnglandNovember 21-22, 2013
Leading Current Issues in Securities Regulation and Enforcement
November 15, 2013
NSCP National Membership Meeting
October 21-23, 2013
28th Annual NRS Fall Investment Adviser and Broker-Dealer Compliance Conference
October 9-11, 2013
Ascendant Compliance Conference
September 25-27, 2013
American Bar Association Panel
August 11, 2013
Ignites: "Preparing for Money Fund Reform"
June 28, 2013
CounselWorks Client Retreat: Compliance Issues for Advisers
June 23, 2013
- “SEC Updates its Focus on Business Continuity and Transition Plans”