Partner smigel@thsh.com 212-702-3176 LinkedIn
Practice Areas
Areas of Focus
- Investment Advisers Act of 1940
- Formation of hedge funds
- Investment adviser registration and SEC compliance
Industries
Beth Smigel
Partner smigel@thsh.com 212-702-3176 LinkedIn
Practice Areas
Areas of Focus
- Investment Advisers Act of 1940
- Formation of hedge funds
- Investment adviser registration and SEC compliance
Industries
Biography
Beth Smigel is a partner in Tannenbaum Helpern’s Investment Management department. Beth’s practice focuses on advising U.S. and non-U.S. domiciled investment managers with regard to various aspects of their operations, including structuring and launching their hedge funds and private equity funds, drafting and negotiating managed account agreements and service provider agreements, reviewing marketing presentations, conducting legal due diligence with respect to underlying fund investments, and advising the investment managers and their funds with regard to compliance matters arising under the Investment Advisers Act of 1940, the U.S. Securities Act of 1933, the U.S. Investment Company Act of 1940 and the Commodity Exchange Act.
- Negotiated and structured multi-million dollar investment by state pension plan in US hedge fund
- Structured, drafted and negotiated dedicated private equity fund for large institutional investor
- Analyzed U.S. regulatory regime (including SEC and CFTC regulations) for complex of non-U.S. investment advisers
Law School:
- Northwestern University School of Law, 2000, J.D.
- Honors: Associates Articles Editor on the Journal of Criminal Law and Criminology
College:
- University of Pennsylvania , 1996, BA
- Honors: Cum Laude
- Kavanah Maloney & Osnato LLP - Winter 2004-Spring 2005
- Proskauer Rose LLP Fall 2000-Fall 2003
- New York
Case Studies
Publications
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline
- SEC increases monetary thresholds for “qualified clients”
- SEC Broadens the Pool of Accredited Investors and Qualified Institutional Buyers
- OCIE Publishes Observations from Examinations of Private Fund Advisers
- Coronavirus Regulatory Round-Up for Investment Advisers
- Coronavirus Update - SEC Issues Limited Form ADV and Form PF Filing Relief to Private Fund Managers
- Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- What Businesses Outside California Should Know About the California Consumer Privacy Act
- Turndown Service with that Hack: Marriott Hotels Announce Massive Data Breach
- GoDaddy the latest to leave S3 Bucket Unsecured
- What U.S.- Based Investment Advisers Should Know
- What U.S.- Based Investment Advisers Should Know
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- “Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs?
- SEC Amendments to Form ADV Effective on October 1, 2017
- Global Ransomware Attack: Basic Security Measures Every Business Should Adopt
- Overview of Data Privacy and Cybersecurity Regulatory Landscape for Investment Advisers and Other Financial Services Companies
- Cybersecurity Risk Update – Hackers Take Over Bank via DNS
Beth Smigel is a partner in Tannenbaum Helpern’s Investment Management department. Beth’s practice focuses on advising U.S. and non-U.S. domiciled investment managers with regard to various aspects of their operations, including structuring and launching their hedge funds and private equity funds, drafting and negotiating managed account agreements and service provider agreements, reviewing marketing presentations, conducting legal due diligence with respect to underlying fund investments, and advising the investment managers and their funds with regard to compliance matters arising under the Investment Advisers Act of 1940, the U.S. Securities Act of 1933, the U.S. Investment Company Act of 1940 and the Commodity Exchange Act.
- Negotiated and structured multi-million dollar investment by state pension plan in US hedge fund
- Structured, drafted and negotiated dedicated private equity fund for large institutional investor
- Analyzed U.S. regulatory regime (including SEC and CFTC regulations) for complex of non-U.S. investment advisers
Law School:
- Northwestern University School of Law, 2000, J.D.
- Honors: Associates Articles Editor on the Journal of Criminal Law and Criminology
College:
- University of Pennsylvania , 1996, BA
- Honors: Cum Laude
- Kavanah Maloney & Osnato LLP - Winter 2004-Spring 2005
- Proskauer Rose LLP Fall 2000-Fall 2003
- New York
- How the SEC’s Proposed New Safeguarding Rule May Impact Private Fund Advisers
- SEC Releases Examination Priorities for 2023
- SEC Risk Alert on New Marketing Rule
- Recent SEC ESG-Related Actions Impacting Investment Advisers and Investment Funds
- What are the SEC Examination Priorities for 2022?
- SEC Proposes Significant Changes to Regulation of Private Fund Advisers
- Form SHC (U.S. Ownership of Foreign Securities): Friday, March 4th filing deadline
- SEC increases monetary thresholds for “qualified clients”
- SEC Broadens the Pool of Accredited Investors and Qualified Institutional Buyers
- OCIE Publishes Observations from Examinations of Private Fund Advisers
- Coronavirus Regulatory Round-Up for Investment Advisers
- Coronavirus Update - SEC Issues Limited Form ADV and Form PF Filing Relief to Private Fund Managers
- Coronavirus Update: SEC Releases Form ADV and Custody Rule FAQs in Response to “Work from Home” Arrangements
- Coronavirus Update – SEC Issues Limited Form ADV and Form PF Filing Relief to Investment Advisers
- SEC Approves Regulation Best Interest
- What Businesses Outside California Should Know About the California Consumer Privacy Act
- Turndown Service with that Hack: Marriott Hotels Announce Massive Data Breach
- GoDaddy the latest to leave S3 Bucket Unsecured
- What U.S.- Based Investment Advisers Should Know
- What U.S.- Based Investment Advisers Should Know
- Top Six Advisory Fee and Expense Deficiencies Identified by OCIE
- SEC Announces 2018 Examination Priorities
- So You Want to Manage a Cryptocurrency Fund? U.S. Regulatory Rules to Consider First
- General Data Protection Regulation Affects Investment Advisors with EU Clientele
- “Who Is Who?” and “Who Owns Whom?”- Are You Ready for LEIs?
- SEC Amendments to Form ADV Effective on October 1, 2017
- Global Ransomware Attack: Basic Security Measures Every Business Should Adopt
- Overview of Data Privacy and Cybersecurity Regulatory Landscape for Investment Advisers and Other Financial Services Companies
- Cybersecurity Risk Update – Hackers Take Over Bank via DNS