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Scott H. Moss
Partner
Chair, Fund Regulatory & Compliance
Co-chair, Investment Management Group

William Brannan
Partner
Vice Chair, Lowenstein Crypto

Jonathan A. Danziger
Partner

Robert A. Johnston Jr.
Partner

Boris Liberman
Partner
Co-chair, Derivatives & Structured Products

Robert G. Minion
Partner
Chair, Investment Management Group

Bryan I. Reyhani
Partner

Michael D. Saarinen
Partner
Co-chair, Fund Formation & Structuring

Ethan L. Silver
Partner
Chair, FinTech
Co-chair, Lowenstein Crypto
Chair, Broker-Dealer Practice

Contacts

Scott H. Moss
Partner
Chair, Fund Regulatory & Compliance
Co-chair, Investment Management Group

William Brannan
Partner
Vice Chair, Lowenstein Crypto

Jonathan A. Danziger
Partner

Robert A. Johnston Jr.
Partner

Boris Liberman
Partner
Co-chair, Derivatives & Structured Products

Robert G. Minion
Partner
Chair, Investment Management Group

Bryan I. Reyhani
Partner

Michael D. Saarinen
Partner
Co-chair, Fund Formation & Structuring

Ethan L. Silver
Partner
Chair, FinTech
Co-chair, Lowenstein Crypto
Chair, Broker-Dealer Practice

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Lowenstein’s Investment Management Group offers this specialized Resource Center so that investors, pooled investment vehicles, investment advisers, broker-dealers, commodity pool operators, commodity trading advisors, and other financial institutions can stay up to date on the latest pertinent developments in the law, the industry, and the market.

Federal regulations governing the financial services industry are constantly evolving. Our cross-disciplinary teams provide detailed analysis and recommendations on the latest from the SEC, CFTC, FINRA, NFA and other agencies/regulatory bodies in real time; we keep our finger on the pulse of the industry so that clients and others can stay ahead in this rapidly changing field.

Our team counsels hundreds of investment management clients on the implementation of compliance programs, as well as on the development of plans to ensure ongoing adherence to emerging regulatory standards. Consistently ranked by such prestigious organizations as Chambers and the Legal 500, our lawyers bring their wide knowledge of the entire panoply of overlapping securities and commodities laws, rules, and regulations to offshore and U.S.-based funds, investment advisers, broker-dealers, commodity pool operators, and commodity trading advisors seeking advice on formation and structuring, securities and commodities regulation, AML, mergers and acquisitions, and other financial transactions.

Click here to subscribe to our developing updates on Investment Management Regulatory & Compliance.

Private Funds Adviser Rule: What You Need to Know

"The SEC’s Private Fund Adviser Rules Explained — Part 4: The Quarterly Statement Rule," (December 7, 2023)
"The SEC’s Private Fund Adviser Rules Explained — Part 3: Deciphering a Private Fund Manager’s Fiduciary Duty," (October 26, 2023)
"The SEC’s Private Fund Adviser Rules Explained — Part 2: The Preferential Treatment Rule," (October 24, 2023)
"The SEC’s Private Fund Adviser Rules Explained — Part 1: The Restricted Activities Rule," (September 25, 2023)
"SEC Enacts Wide-Sweeping Private Funds Rules," (August 29, 2023)

Upcoming Events

May 2, 2024
SEC Examination and Enforcement Priorities, Scott H. Moss (speaker), Managed Funds Association, New York, NY

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Alternative Data = Better Investment Strategies, But Not Without Concerns

Alternative Data = Better Investment Strategies,
But Not Without Concerns