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Scott H. Moss
Partner
New York
T 646.414.6874
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973.597.2335
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Scott H. Moss is a Partner in Lowenstein Sandler's Investment Management Group, which was selected as one of the preeminent practices in the United States for its representation of hedge funds and other private funds (2011 and 2010) and derivatives/private equity work (2011) by Best Law Firms, published by U.S. News and Best Lawyers. Scott is praised by clients as "excellent" and part of a team that 'always understands the issues at hand, responds very quickly and is able to suggest creative solutions to issues that are often very complicated' (Legal 500, 2012). Scott also leads the firm's Regulatory and Compliance sub-practice.
Scott's extensive experience includes representing offshore and domestic hedge funds, private equity funds, investment advisers, broker-dealers and CPO/CTAs in fund formation and structuring, securities regulation, mergers and acquisitions and other financial transactions. Scott also advises on general corporate matters and agreements among financial professionals, such as placement agent agreements, operating agreements and partnership agreements.
Scott focuses in the areas of investment management, private fund formation, and compliance. He assists clients with: implementing comprehensive compliance programs and integrating them into day to day activities that further the client's business goals, employee training, identifying and correcting potential compliance weaknesses and liability exposure, and developing long-range plans to implement and ensure ongoing compliance with all existing and emerging regulations. Scott is highly respected by his industry peers for his depth of regulation and compliance knowledge.
Some of Scott's recent representative matters and counsel have included:
- Advising domestic and offshore hedge funds, private equity funds and other pooled investment vehicles regarding structure, formation and ongoing operational issues;
- Advising fund managers and other investment advisers with respect to SEC and state regulatory issues and compliance-related matters; and
- Broker-dealer regulation and CTA/CPO compliance.
Scott is a prominent author and lecturer on corporate law, securities transactions and investment management. He has been published in The Wall Street Journal, The Compliance Reporter, Bloomberg Law Reports, The Hedge Fund Law Report and a variety of other publications. Scott is a part-time lecturer at Rutgers School of Law, Hedge Funds and Investment Adviser Seminar, and is also on the Lawyer's Advisory Committee for the Managed Funds Association and on the IA Legal & Regulatory Subcommittee of the National Society of Compliance Professionals.
Other Distinctions
- Super Lawyers (2013) - Recognized as a "Rising Star."
Speaking Engagements
- Host and Panelist, Lowenstein Sandler & ACA Compliance Group's CCO Roundtable, "Evolving Regulatory and Compliance Issues," March 20, 2013
- Panelist, AIFMD Breakfast Briefing with Osborne Clarke, February 28, 2013
- Presenter, 10th Annual PEI Private Equity CFO and COO Forum, "Frontline - Tales from the SEC Audit Trail," January 23-24, 2013
- Panelist, MLA Alternative Asset Management G Luncheon, "Fund Trading Issues: Information Evaluation, Access, Conflicts, and Insider Trading Securities Law and Compliance Best Practices," December 11, 2012
- Panelist, MFA Forum 2012 - Navigating New and Existing Laws Towards Business Development Success, June 12, 2012
Publications
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Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft
Investment Management Client Alert, May 2013
Scott Moss,
Cole Beaubouef
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CFTC Grants No-Action Relief to Certain Family Offices and Funds-of-Funds from Registration as CPOs
Investment Management Client Alert, December 10, 2012
Scott Moss,
Cole Beaubouef,
Brianne Perlman
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SEC Proposes New Rule to Eliminate Ban on General Solicitation
Investment Management Client Alert, August 29, 2012
Scott Moss,
David Goret,
Cole Beaubouef,
Elizabeth Rooney
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View More...
Press Mentions
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In CTA Intelligence, Scott Moss comments on the CFTC’s and the NFA’s overlapping reporting requirements.,
CTA Intelligence
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May 2013
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Scott Moss comments on the SEC's upcoming "presence exams.",
HFM Week
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October 15, 2012
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Scott Moss comments on the inconsistencies between the CFTC and JOBS Act approaches to marketing hedge funds.,
HFMWeek
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September 3, 2012
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Scott Moss discusses the pros and cons of hedge fund managers engaging in transactions with their own hedge funds and their investors.,
The Hedge Fund Law Report
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December 15, 2011
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Scott Moss comments on the SEC's approval of a final Form PF and the SEC's revisions from the proposed form.,
Hedge Funds Review
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October 27, 2011
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In The Wall Street Journal's Marketwatch, Scott Moss discusses the new SEC investment adviser registration rules and hedge fund disclosure.,
The Wall Street Journal's Marketwatch
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July 1, 2011
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Scott Moss and Michael Long discuss new regulations barring contingent compensation arrangements for placement agents who seek investments by certain public pension funds.,
The Hedge Fund Law Report
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April 21, 2011
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Scott Moss speaks on the SEC's definition of "family office".,
Infovest21's Investor Focus - Defining a Family Office
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October 2010
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Scott Moss comments on the effects of a provision in the financial reform bill that requires advisers of private-equity funds and hedge funds larger than $150 million to register with the SEC.,
Investment News
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July 25, 2010
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Scott Moss comments on Investment Advisers Act of 1940 and related compliance implications of loans from hedge funds to managers.,
The Hedge Fund Law Report
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July 15, 2010
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Lowenstein Sandler's election of Michael Hahn, Jason Halper, Scott Moss, Ethan Skerry and S. Jason Teele as Members of the firm is highlighted.,
New Jersey Law Journal
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January 4, 2010
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Seton Hall University School of Law
(J.D.,
2001)
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magna cum laude, Notes Editor, Seton Hall Law Review
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Bentley College
(B.S.,
1998)
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magna cum laude
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- Part-Time Lecturer, Rutgers School of Law, Hedge Funds Seminar
- Managed Funds Association Lawyers Advisory Committee
- Member, National Society of Compliance Professionals
- IA Legal & Regulatory Subcommittee
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