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
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.
Northwestern University School of Law (J.D.)
- Honors: Associates Articles Editor on the Journal of Criminal Law and Criminology
University of Pennsylvania (B.A.)
- Honors: cum laude
- Kavanah Maloney & Osnato LLP
- Proskauer Rose LLP
- New York
- With Intelligence Best Onshore Law Firm - Client Service (2024) - member of department
- 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
Case Studies
Publications
- CFTC Adopts Amendments to Regulation 4.7
- Are Entities in Your Private Fund Structure Reportable under FinCEN’s Beneficial Ownership Regulation?
- U.S. Court of Appeals Invalidates SEC’s Private Fund Adviser Rules
- SEC Adopts Modernizing Amendments to Regulation S-P to Enhance Protection of Customer Information
- SEC Division of Examinations Publishes Marketing Rule Risk Alert
- The SEC Wins First Insider Trading Case Based on So-Called “Shadow Trading” Theory
- Revised Dealer Rules
- Investment Fund Manager Update on Self-Employment Limited Partner Exception: Tax Court Holds that Limited Partners May Be Subject to Self-Employment Tax
- SEC Releases Examination Priorities for 2024
- Newly Formed Reporting Entities in 2024 Will Have 90 Days to Report Beneficial Ownership Information
- SEC Charges Five RIAs with Violations of Custody Rule
- SEC Adopts Final Rules on Private Fund Adviser Reforms
- SEC Charges RIA with Violations of Amended Marketing Rule
- Second Risk Alert on Marketing Rule Compliance
- New Form N-PX Reporting - A Practical Guide for Form 13F Filing Managers
- SEC Proposes Rule on Use of Predictive Data Analytics by Investment Advisers
- SEC Adopts Amendments to Form PF
- 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
News
- Tannenbaum Helpern Recognized by With Intelligence at HFM US Services Awards 2024 • 09.16.2024
- Tannenbaum Helpern’s Investment Management Practice Shortlisted by Hedgeweek in 2024 US Leadership Awards • 07.25.2024
- Tannenbaum Helpern’s Investment Management Practice Shortlisted by With Intelligence in 2024 Hedge Fund Management US Services Awards • 07.18.2024
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.
Northwestern University School of Law (J.D.)
- Honors: Associates Articles Editor on the Journal of Criminal Law and Criminology
University of Pennsylvania (B.A.)
- Honors: cum laude
- Kavanah Maloney & Osnato LLP
- Proskauer Rose LLP
- New York
- With Intelligence Best Onshore Law Firm - Client Service (2024) - member of department
- 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
- CFTC Adopts Amendments to Regulation 4.7
- Are Entities in Your Private Fund Structure Reportable under FinCEN’s Beneficial Ownership Regulation?
- U.S. Court of Appeals Invalidates SEC’s Private Fund Adviser Rules
- SEC Adopts Modernizing Amendments to Regulation S-P to Enhance Protection of Customer Information
- SEC Division of Examinations Publishes Marketing Rule Risk Alert
- The SEC Wins First Insider Trading Case Based on So-Called “Shadow Trading” Theory
- Revised Dealer Rules
- Investment Fund Manager Update on Self-Employment Limited Partner Exception: Tax Court Holds that Limited Partners May Be Subject to Self-Employment Tax
- SEC Releases Examination Priorities for 2024
- Newly Formed Reporting Entities in 2024 Will Have 90 Days to Report Beneficial Ownership Information
- SEC Charges Five RIAs with Violations of Custody Rule
- SEC Adopts Final Rules on Private Fund Adviser Reforms
- SEC Charges RIA with Violations of Amended Marketing Rule
- Second Risk Alert on Marketing Rule Compliance
- New Form N-PX Reporting - A Practical Guide for Form 13F Filing Managers
- SEC Proposes Rule on Use of Predictive Data Analytics by Investment Advisers
- SEC Adopts Amendments to Form PF
- 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
- Tannenbaum Helpern Recognized by With Intelligence at HFM US Services Awards 2024 • 09.16.2024
- Tannenbaum Helpern’s Investment Management Practice Shortlisted by Hedgeweek in 2024 US Leadership Awards • 07.25.2024
- Tannenbaum Helpern’s Investment Management Practice Shortlisted by With Intelligence in 2024 Hedge Fund Management US Services Awards • 07.18.2024