Wednesday, 30 July 2014
Last updated 19 min ago
Aug 6 2012 | 11:05am ET
A top U.S. hedge fund regulator is retiring from the Securities and Exchange Commission after almost 30 years.
Robert Plaze will step down as deputy director of the SEC's Division of Investment Management at the end of the month, the commission said. He has been with the division since 1983, when he joined it as an attorney.
“Few people have had as great an impact shaping the regulatory landscape for the benefit of individual investors,” SEC Chairman Mary Schapiro said. “Bob’s keen intellect and passion for investor protection have been central to virtually every significant rule affecting mutual funds and investment advisers for more than a generation."
Most recently, Plaze has worked on putting the Dodd-Frank Act into force, leading the rulemaking effort on such matters as hedge fund registration.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…