About

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

Provided by Chambers

Investment Funds: Regulatory & Compliance - USA - Nationwide

3
Band 3

What the Team is Known For

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.

Work Highlights

  • Lowenstein Sandler represented Delphia (USA) Inc. in settled charges with the SEC in relation to the use of artificial intelligence.

Strengths

Provided by Chambers

Notable Practitioners

Provided by Chambers

Scott H Moss
1
Scott H Moss
1
Band 1

Scott Moss is recognized for his experience in matters involving securities and commodities regulation.

He has an encyclopedic knowledge and really understands the current state of regulatory affairs. He is a thought leader in adjacent areas, which is very helpful.

Scott has an incredible breadth of knowledge and detail. He thinks through the relevant strategy before giving his advice.

Scott consistently delivers exceptional client service. He handles complex and nuanced questions with precision and provides solutions that balance legal rigour with practical applicability.

Scott is an exceptional attorney. He is world class in this sector.

Scott is a true expert in his field. We value his attention, advice and guidance.

Ranked Lawyers at
Lowenstein Sandler LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

Investment Funds: Regulatory & Compliance

Scott H Moss
1
Scott H Moss
1
Band 1

Members

Provided by Lowenstein Sandler LLP