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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 a key member of the 'hardworking, responsive and creative' six-partner team at Lowenstein Sandler PC, considered by clients to be 'one of the best teams of hedge fund attorneys' according to the Legal 500. He also leads the firm's Regulatory and Compliance sub-practice.
Mr. Moss' 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. Mr. Moss also advises on general corporate matters and agreements among financial professionals, such as placement agent agreements, operating agreements and partnership agreements.
Mr. Moss 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. Mr. Moss 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.
Mr. Moss 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. Mr. Moss 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.
Recent Speaking Engagements:
- Host and Co-presenter, Lowenstein Sandler and ACA Compliance Group, "NYC CCO Roundtable," March 6, 2012
- Presenter, NYSSA Members Meeting, "Compliance and Regulatory Update," November 16, 2011
- Co-presenter, Lowenstein Sandler/ALaS Consulting, "Webinar on Dodd-Frank Title IV Changes: A New Era of Compliance - An Opportunity for Growth," Fierce Markets, June 15, 2011
- Co-panelist, NJCCA Spring Cocktail Reception and Ethics Program, "Pay to Play: Five Questions Every Company Needs to Consider to Help Ensure Ethical Compliance," May 12, 2011
- Co-panelist, Lowenstein Sandler/ACA Compliance Group Webinar with Cerberus Capital Management, L.P., "Investment Adviser Registration, Regulatory and Compliance Issues Affecting the Hedge Fund Community," February 24, 2011
- Co-presenter, Lowenstein Sandler/Rothstein Kass Webinar, "Webinar on Regulatory, Compliance, Investment Advisor Registration and Tax Legislation Issues Affecting the Private Investment Community," February 10, 2011
- Co-panelist, The Private Equity International, "CFOs and COOs Forum - Countdown to SEC Registration" January 20-21, 2011, New York City
- Co-panelist, Financial Research Associates, "Hedge Fund Compliance Summit - A Look at the Current Regulatory Landscape and Other New Developments" November 15, 2010, New York City
- Co-panelist, Financial Research Associates "Private Equity Compliance and Registration Best Practices - Webcast," FRA Webinar Series, November 10, 2010
- Co-panelist, Infovest21, "Morning Investor Seminar: Choices and Challenges for Foundations/Family Offices - Re-Defining the Family Office" October 21, 2010, New York City
- Co-panelist, "The Regulatory, Compliance and Tax Environment for Fund Managers - Webcast," Lowenstein Sandler/Thomson West Legal Webinar Series, September 28, 2010
- Panelist, "Marketing and Advertising Activities - Emerging Issues and Opportunities," Regulatory and Compliance Association - US Centric Simulcast, July 28, 2010
- Speaker, "Adapting to Increased Investor Demands with Regard to Fund Operations and Management," ACI's 6th National Advanced Forum on Regulation and Enforcement of Hedge Funds & Investment Advisers, June 25, 2010
- Co-panelist, "The Compliance and Regulatory Environment for Fund Managers," IvyPlus Fund Manager Business Development Conference - Capital Raise and Compliance Agenda, June 15, 2010
- Co-panelist, "Private Equity in a Changing Market," Eisner, LLP, January 28, 2010
- Co-panelist, Lowenstein Sandler webcast, "Trading Best Practices and Legislative Initiatives," August 5, 2009
- Co-panelist, West Legalworks' webcast, "CSX Corporation v. The Children's Investment Fund Management: The Implications for Beneficial Ownership Determinations," Scott Moss, July 22, 2008
- "Compliance Outsourcing" - CCO University Outreach Series, Scott Moss, March 26, 2008
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President Signs Jumpstart Our Business Startups Act: Certain Restrictions on Marketing Private Funds Eased
Investment Management Client Alert, April 2012
Scott Moss,
George Danenhauer,
Cole Beaubouef
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CFTC Issues Final Rules Amending Registration and Compliance Obligations for CPOs and CTAs
Investment Management Client Alert, February 2012
Scott Moss,
Cole Beaubouef,
George Danenhauer
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Registration of Related Entities of a Registered Investment Adviser — SEC Issues No-Action Letter Interpretive Guidance
Investment Management Client Alert, January 25, 2012
Scott Moss,
George Danenhauer,
Cole Beaubouef
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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, 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, 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, July 1, 2011
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June 12-13, 2012
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MFA Forum 2012
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