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PRACTICE AREAS

• 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 “Law Review/International Law Journal” 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