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Beth Smigel



Partner
smigel@thsh.com
Phone: 212-702-3176



Attorneys » S » Beth Smigel

Beth Smigel

Bio

Beth Smigel is a partner in the Tannenbaum Helpern’s Financial Services, Private Funds and Capital Markets practice, which focuses on forming, structuring and drafting the offering documents for hedge fund and private equity fund clients and advising such funds with regard to ongoing operational and U.S. regulatory matters. Beth represents a wide range of investment managers, from start-up managers to multi-billion dollar asset managers, located in the U.S. and in numerous non-U.S. jurisdictions. She advises investment managers in various aspects of their businesses, including drafting and negotiating managed account agreements and service provider agreements, conducting legal due diligence with respect to their underlying fund investments, and assisting the managers in complying with numerous regulatory and compliance matters arising under U.S law, including 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. In addition, as a member of the firm’s Cybersecurity and Data Privacy practice, Beth assists financial services clients in complying with the SEC and other regulatory guidelines for addressing cybersecurity risks to their operations.

Significant Matters

  • 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

Beth Smigel has or will serve as a speaker, moderator, event chair or panelist for the following events:

  • Implementing Title IV of Dodd-Frank: An Overview of the SEC's Rule Making | CLE presentation | July 2011

Areas of Focus:

  • Investment Advisers Act of 1940
  • Formation of hedge funds
  • Investment adviser registration and SEC compliance

Education:

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

Prior Affiliations:

  • Kavanah Maloney & Osnato LLP - Winter 2004-Spring 2005
  • Proskauer Rose LLP Fall 2000-Fall 2003

Bar Admissions:

  • New York
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