Brynn Peltz is as a corporate partner in the New York office of Latham & Watkins where she focuses on regulatory and compliance matters in the investment management Industry. Ms. Peltz has a broad base of expertise advising financial institutions, private equity, real estate and hedge fund sponsors, alternative asset managers and registered investment companies with respect to all aspects of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
She has more than 20 years experience advising clients on matters including fund formation, registration and offerings, structuring of financial products, adviser registration, compliance and other regulatory issues. Ms. Peltz has represented such clients as Blackstone, Carlyle, Merrill Lynch and BlackRock on private equity matters and such clients as Morgan Stanley, Schroders, BNP Paribas and JP Morgan on alternatives, registered fund and registered adviser matters. Ms. Peltz has also represented a variety of registered investment companies in all aspects of their regulatory and compliance issues, and she has advised on a number of major financial institution acquisitions.
Ms. Peltz is among a very small set of practitioners globally with deep knowledge of exchange-traded funds and other structured wealth management products with fund characteristics. Her expertise also extends to mergers and acquisitions in the investment management sector.
Ms. Peltz has represented clients undergoing inspections and examinations of the Securities and Exchange Commission (SEC). She has worked closely with the SEC staff on a variety of matters including responses to deficiency letters and Wells Notices, information requests in sweep examinations, no-action requests and orders for exemptive relief.
In the Chambers USA 2009 and Legal 500 US 2008 and 2009 guides, Ms. Peltz was recognized for her work with investment funds.