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Zachary S. Rosenberg, Esq.
Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020 x 2001
Fax: 619.278.0050
zachary.rosenberg@corecls.com
Compliance Consultant
Contact Information
5920 Friars Road, Suite 208
San Diego, CA 92108
Tel: 619.278.0020 x 2001
Fax: 619.278.0050
zachary.rosenberg@corecls.com
PRACTICE AREAS
Mr. Rosenberg provides research and compliance project management to
CCLS and its advisory, broker-dealer and private fund clients. Mr. Rosenberg’
s practice areas focuses on all aspects of compliance programs, including the
registration filings for the entity and associated persons, drafting of
contracts, policies and procedures and other documents required for the
business, and assists with the development and testing of the compliance
program. In addition, Zac assists on all matters of business entity formation
including state filings, document preparation (bylaws, operating agreements,
etc.), and general corporate governance matters. He is a frequent
contributor to CCLS’ Risk Management Updates and co-authors other industry
articles on behalf of the firm.
Prior to joining CCLS, Mr. Rosenberg served as a judicial extern to a U.S.
Magistrate Judge, where he reviewed and evaluated federal petitions for writ
of habeas corpus. He drafted reports and recommendations for the judge
based on extensive research of U.S. Supreme Court precedent and other
relevant legal standards. Mr. Rosenberg is a graduate of California Western
School of Law where he served as Executive Editor of its Law Review and
focused his academics on securities and corporate law. He is a member of
the State Bar of California and San Diego County Bar Association.
EDUCATION
J.D., Magna Cum Laude, California Western School of Law
B.A., History and Political Science, University of Arizona
BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California
PROFESSIONAL AFFILIATIONS
Member, State Bar of California
Member, San Diego County Bar Association
- Business Entity Formations and Related Operating Documents
- Private Fund, Investment Advisory, and Broker-Dealer Regulatory
Compliance Matters - Preparation of Policies and Procedures Manuals, Forms ADV and
Advisory Contracts - Compliance Program Development and Analysis
- Compliance Research Writing and Support
Mr. Rosenberg provides research and compliance project management to
CCLS and its advisory, broker-dealer and private fund clients. Mr. Rosenberg’
s practice areas focuses on all aspects of compliance programs, including the
registration filings for the entity and associated persons, drafting of
contracts, policies and procedures and other documents required for the
business, and assists with the development and testing of the compliance
program. In addition, Zac assists on all matters of business entity formation
including state filings, document preparation (bylaws, operating agreements,
etc.), and general corporate governance matters. He is a frequent
contributor to CCLS’ Risk Management Updates and co-authors other industry
articles on behalf of the firm.
Prior to joining CCLS, Mr. Rosenberg served as a judicial extern to a U.S.
Magistrate Judge, where he reviewed and evaluated federal petitions for writ
of habeas corpus. He drafted reports and recommendations for the judge
based on extensive research of U.S. Supreme Court precedent and other
relevant legal standards. Mr. Rosenberg is a graduate of California Western
School of Law where he served as Executive Editor of its Law Review and
focused his academics on securities and corporate law. He is a member of
the State Bar of California and San Diego County Bar Association.
EDUCATION
J.D., Magna Cum Laude, California Western School of Law
B.A., History and Political Science, University of Arizona
BAR AND COURT ADMISSIONS
The State Bar of California
United States District Court, Southern District of California
PROFESSIONAL AFFILIATIONS
Member, State Bar of California
Member, San Diego County Bar Association
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0020 Fax: 619-278-0050 |
