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, “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

  • 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


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
President Trump Directs Department of Labor to Reexamine Fiduciary Rule
Investment Management and Employee Benefits/Executive Compensation Client Alert, February 7, 2017
Andrew Graw, Scott Moss, Megan Monson
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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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May 23, 2017
Investment Management Breakfast Series

Related Areas

Capital Markets & Securities
Investment Management
Mergers & Acquisitions


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


  • 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