Scott H. Moss Partner

New York
T 646.414.6874 | F 973.597.2335



Co-chair, Regulatory and Compliance

Scott Moss is a Partner in Lowenstein Sandler's Investment Management Group, and co-chairs the Regulatory and Compliance Practice. Scott is highly respected by his industry peers for his depth of regulation and compliance knowledge. Clients praise his work as "excellent," noting that he 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.” (Legal 500).

Scott is thoroughly familiar with the entire panoply of overlapping securities and other laws, rules and regulations that affect his clients. He has counseled hundreds of clients in the implementation of comprehensive compliance programs that fit their business goals and in the development of long-range plans to ensure on-going compliance with existing and emerging regulations. Scott's extensive experience also includes representing offshore and domestic funds, investment advisers, broker-dealers, commodity pool operators and commodity trading advisors in formation and structuring, securities regulation, mergers and acquisitions and other financial transactions, as well as general corporate matters and the myriad agreements among financial professionals.

Scott is a prominent author and lecturer on corporate law, securities transactions and investment management. 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 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: “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

  • Discussion Leader: “Planning for your firms' future: what should your succession plan include?” Managed Funds Association (MFA) Outlook, New York, NY October 16, 2014

  • Panelist, PAM Breakfast Regulatory Roundup, “The Current Compliance Challenges Faced by the Affluent and Their Advisors,” May 29, 2014

  • Host and Panelist, Lowenstein Sandler & ACA Compliance Group's CCO Roundtable, "Addressing Today’s Evolving Regulatory Challenges," March 6, 2014

  • Moderator, “SEC Exam: What to Expect When You’re Expecting. . .the SEC,” Private Equity International CLOs and COOs Forum, New York, NY January 22, 2014


Publications

SEC Adjusts Qualified Client Threshold for Inflation
Investment Management Client Alert, August 18, 2016
Scott Moss, George Danenhauer
Department of Labor Issues Final Rules Expanding the Scope of Advisors Who Are Considered ERISA Fiduciaries
Investment Management and Employee Benefits/Executive Compensation Client Alert, May 16, 2016
Andrew Graw, Scott Moss, George Danenhauer, Megan Monson
Year-End Developments and Compliance Checklist
Investment Management Client Alert, January 2016
Scott Moss, Matthew Magidson, Andrew Graw, Brian Silikovitz, Karen R. Abraham, George Danenhauer, Christina Iafe, Darren Goodman, Lesley Adamo
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Press Mentions

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
Scott Moss comments on the SEC's upcoming "presence exams." , HFM Week , October 15, 2012
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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