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Former SEC official joins Stroock & Stroock & Lavan’s DC private funds practice

Law firm Stroock & Stroock & Lavan has appointed Tram N Nguyen as a partner in the firm’s private funds practice group. 

 
Nguyen is resident in Stroock’s DC office, where she joins Robert E Plaze who before founding that office as a partner was the deputy director of the Securities and Exchange Commission’s division of investment management.
 
Nguyen joins Stroock from the Securities and Exchange Commission, where most recently she was chief of the private funds branch of the SEC’s division of investment management.  While in that capacity, she led rulemaking and related initiatives affecting private fund advisers, including rules implementing the Dodd-Frank Act, exemptions from registration for venture capital and foreign private advisers, and Volcker rule provisions affecting banks’ ability to sponsor and invest in hedge funds.  Nguyen also worked on the Commission’s implementation of rules requiring additional reporting by private fund advisers, including Form PF.
 
“During her tenure at the SEC, Tram was responsible for some of the most important rulemaking relating to private funds to come out of the SEC,” says Stuart H Coleman, Stroock’s co-managing partner and chairperson of the firm’s investment management practice group.  “Her insight into the current regulatory climate and experience in both private practice and government makes her a tremendous addition to our firm overall, and particularly to our expanding presence in Washington, DC.”
 
“I am pleased to join my new colleagues at Stroock, especially in this exciting time for the firm,” says Nguyen.  “Stroock’s reputation in investment management and private funds is superb, and the opportunity to further establish its growing presence in Washington, DC was particularly attractive.”
 
Nguyen is the second SEC official to recently join the firm:  Earlier this year Plaze joined as a partner in the firm’s investment management practice group. 
 
Before joining the SEC in 2010, Nguyen practiced for nearly 12 years with international law firms in Washington, DC and New York City.  There, she focused on hedge funds and private equity funds, advising clients on fund-related issues including fund formation, structuring and compliance and private offering requirements, and she also advised financial institutions and investment advisers on requirements under the Investment Advisers Act.  She developed expertise as a leading national expert on private fund regulation, which led the SEC to ask her to join its staff as an industry expert to help implement private fund provisions of the Dodd-Frank Act.
 
Stroock’s investment management practice group represents over 800 mutual funds, closed-end funds, ETFs or business development companies (or their independent board members), as well as investment advisers, industry service providers and unregistered pooled investment vehicles.  #
 
Stroock’s private funds practice group focuses on the representation of sophisticated sponsors, distributors, investors and other market participants, with a particular emphasis on specialized products and funds at the cutting edge of the industry.  

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