Investment Funds: Regulatory & Compliance
USA Guide 2024 : USA - Nationwide
Band 3
Contact number
+1 212 262 6700About
Provided by Lowenstein Sandler LLP
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
Chambers Review
Lowenstein Sandler's team consistently demonstrates its ability to handle a plethora of regulatory and compliance issues. The team is called upon to advise clients on regulatory examinations and enforcement actions, as well as investment adviser and CPO registrations. The firm's clients include investment advisers and sponsors, among others.
Strengths
Provided by Chambers
"The firm is very experienced and provides valuable insight to its clients."
"Lowenstein Sandler has experts in a variety of specific areas and the team is very responsive."
"The group does an excellent job of addressing complex matters and being practical in its responses."
"The firm is very experienced and provides valuable insight to its clients."
"Lowenstein Sandler has experts in a variety of specific areas and the team is very responsive."
"The group does an excellent job of addressing complex matters and being practical in its responses."
Notable Practitioners
Scott Moss of Lowenstein Sandler is recognized for his experience in matters involving securities and commodities regulation.
"Scott is very responsive and has an encyclopedic knowledge of the space."
"Scott is an expert in the field and is incredibly attentive to his clients."