Investment Management |
Fund Regulatory & Compliance

Fund Regulatory & Compliance

Proactive regulatory and compliance advice is core to our client approach. By immersing ourselves in the day-to-day operations of our clients' businesses, we provide ongoing, actionable, and effective compliance solutions. We are in the trenches with the GCs, CCOs, COOs, and CFOs, making their priorities our priorities.

We firmly believe that careful planning can avert potential problems that could distract our clients from managing their businesses, or even lead to regulatory or enforcement action.

We anticipate changes in regulatory focus and provide real-time, practical advice and guidance. When necessary, we also work closely with our enforcement defense team, including a number of former federal prosecutors, to address potential issues before they become real problems, mitigate impact, and provide successful outcomes.

Services include:

Investment advisor and CPO/CTA registrations
Compliance programs and policies
Mock examinations
Securities advice
Information evaluations and restricted lists
Trading and operational matters
Advertising/promotional materials
Section 13 and Section 16 reporting
AML/KYC compliance

Practice Leadership

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

OUR TEAM

Robert G. Minion
Partner

Marie T. DeFalco
Partner

Richard Bernstein
Partner

David L. Goret
Partner

Edward S. Nadel
Partner

Ethan L. Silver
Partner

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NEWS & INSIGHTS

Practice Leadership

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

Honors & Awards

The Legal 500 - USA (2012 and 2017):
Recognized in the area of Investment Fund Formation and Management – Alternative/Hedge Funds
New York Metro Super Lawyers (2013):
Named to "Rising Stars" list
Chambers USA: America's Leading Lawyers for Business (2017-2024):
Ranked in Band 3 for work in Investment Funds: Hedge Funds and Regulatory & Compliance - Nationwide

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Honors & Awards

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Fund Regulatory & Compliance

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OUR TEAM

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Alternative Data = Better Investment Strategies, But Not Without Concerns

Investment Management |
Fund Regulatory & Compliance

Alternative Data = Better Investment Strategies,
But Not Without Concerns