Scott H. Moss Partner

New York
T 646.414.6874 | F 973.597.2335



Co-chair, Regulatory and Compliance

Highly respected by industry peers for his depth of regulatory knowledge, Scott has counseled hundreds of investment management clients in the implementation of compliance programs, as well as in the development of plans to ensure ongoing adherence to emerging regulatory standards.

He possesses a thorough knowledge of the entire panoply of the overlapping securities and commodities laws, rules, and regulations affecting his clients. Scott is 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” (The Legal 500).

Scott's extensive experience includes representing offshore and U.S.-based funds, investment advisors, broker-dealers, commodity pool operators, and commodity trading advisors in formation and structuring, securities and commodities regulation, mergers and acquisitions, and other financial transactions.

Scott is also a prominent author and lecturer on corporate law, securities transactions, and investment management. His advisory roles include:

  • Adjunct Professor at Rutgers School of Law, “Hedge Funds and Investment Adviser Seminar”
  • Lawyers’ Advisory Committee and Conference Committee for the Managed Funds Association
  • IA Legal and Regulatory Subcommittee and Speaking Faculty of the National Society of Compliance Professionals

Representative Engagements

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.
Broker-dealer regulation and CPO/CTA compliance.
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Other Distinctions

  • Super Lawyers (2013) – Recognized as a "Rising Star."

  • Legal 500 (2012) - 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."

Speaking Engagements

  • Moderator, “CCO Benchmarking: An Opportunity to Compare Compliance Notes,” Lowenstein Sandler’s Investment Management Breakfast Series, May 23, 2017

  • Moderator, “CCO Benchmarking: An Opportunity to Compare Compliance Notes,” Lowenstein Sandler’s Investment Management Breakfast Series, February 7, 2017

  • Moderator, “Anti-Money Laundering: The Rules and Risks for Fund Managers,” Lowenstein Sandler & MFA Seminar, New York, NY, May 19, 2016

  • Panelist, “Mitigating CCO Liability in Policies and Procedures,” PEI CFOs and COOs Forum, New York, NY, January 27-28, 2016

  • Moderator: “The Post-Investigation’s Three C’s: Costs, Concerns and Cooperation,” General Counsels Forum on Internal Investigations & Compliance, New York, NY, November 9, 2015.

  • Host and Panelist: Lowenstein Sandler & Managed Funds Association (MFA) “Advertising Rules for Investment Advisers and Other Market Participants,” New York, NY October 1, 2015

Publications

New Guidance Establishes June 9 Effective Date for Fiduciary Rule, but also Raises Uncertainty as the DOL Continues to Review the Rule
Investment Management and Employee Benefits/Executive Compensation Client Alert, May 9, 2017
Andrew Graw, Scott Moss, Megan Monson
Fiduciary Rule Update: Department of Labor Issues Temporary Enforcement Relief
Investment Management and Employee Benefits/Executive Compensation Client Alert, March 16, 2017
Andrew Graw, Scott Moss, Megan Monson
SEC Staff Issues Guidance Update on Robo-Advisers
Investment Management Client Alert, March 1, 2017
Ethan Silver, Scott Moss
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Press Mentions

In Hedge Fund Legal & Compliance DigestScott Moss discusses common compliance deficiencies for investment advisers. , Hedge Fund Legal & Compliance Digest , February 23, 2017
In a three-part series, Scott H. Moss is prominently featured in The HedgeFund Law Report for his comments regarding in-house hedge fund marketers and broker registration considerations. , The HedgeFund Law Report , September 12, September 19, September 26, 2013
In CTA IntelligenceScott Moss comments on the CFTC’s and the NFA’s overlapping reporting requirements. , CTA Intelligence , May 2013
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Related Areas

Capital Markets & Securities
Corporate
Investment Management
Mergers & Acquisitions

Education


Seton Hall University School of Law ( J.D. , 2001 ) , magna cum laude, Notes Editor, Seton Hall Law Review
Bentley College ( B.S. , 1998 ) , magna cum laude

Bar Admissions


New York
New Jersey

Affiliations


  • 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