Daren R. Domina

Qualifications and Career Profile

Daren R. Domina is a member of the Financial Services Practice and provides advice primarily to securities broker-dealers and registered and unregistered investment advisers on a broad range of registration, regulatory, compliance and inspection/enforcement matters, including regulatory issues relating to private investment funds. Mr. Domina also is involved in matters regarding domestic and offshore private investment funds, securities litigation and general corporate law. He is admitted to the bar of the State of New York.

Lectures and Articles

Mr. Domina has spoken and written on a variety of topics related to investment adviser, broker-dealer and hedge fund regulation, including:

• "Summary and Analysis of Dodd-Frank Rules for Investment Advisers: Registration Requirements, Exemptions, Family Offices, Performance Fee Eligibility," (co-author) Journal of Investment Compliance, New York: Institutional Investor Publications, Vol. 12, No. 4 (December 2011).
• "Dodd-Frank Investment Adviser Registration Update" (September 2011).
• “The Final Countdown…It’s Time to Prepare for the New Era of Investment Adviser Regulation!” (March 2011).
• “A Practical Guide to Investment Adviser Registration” (November 2010).
• “SEC Adopts Amendments That Overhaul Form ADV Part 2,” (co-author) Derivatives: Financial Products Report, New York: Thomson Reuters/WG&L, Vol. 12. No. 2 (October 2010).
• “Senate Financial Regulation Bill Requires SEC Registration for Hedge Fund Managers with $100 Million Under Management,” (co-author) Derivatives: Financial Products Report, New York: Thomson Reuters/WG&L, Vol. 11. No. 10 (June 2010).
• “Introduction to Investment Adviser Regulation Part 2: Selected Topics” (October 2009).
• “Introduction to Investment Adviser Regulation” (April 2009).
• “Hedge Fund Due Diligence” (IncreMental Advantage, October 2007).
• “Regulatory and Tax Issues Affecting Hedge Funds and their Managers” (Investment Management Forum, September 2007).
• “Ethical and Practical Considerations for Hedge Funds” (April 2007).
• “Regulatory Considerations Concerning Hedge Fund Marketing Materials” (January 2007).
• “Interface between Broker-Dealers and Hedge Funds” (Investment Management Forum, September 2006).
• “Know Your ‘Customer’ or ‘Investor’ For Broker-Dealers and Fund Managers” (March 2006).
• “The NASD’s Broker-Dealer Registration Process” (NASD Nuts and Bolts Compliance Conference, March 2006).
• “What Hedge Fund Managers Need to Know about SEC Registration” (November 2005).
• “Impact on Non-U.S. Advisers of the SEC’s Proposal for Registration of Hedge Fund Managers” (MAR’s Conference on Offshore Funds, September 2004).
• “Hedge Funds: An Anti-Money Laundering Update” (Institute for International Research Hedge Fund Conference, July 2002).
• “Form ADV: Revisions and Proposals” (NSCP Regional Membership Meeting, 2001).
• “The Introduction of the Euro Has Certain Regulatory Implications for Investment Advisers,” (co-author) Money Manager’s Compliance Guide Monthly Bulletin, Thompson Publishing Group, Inc., Vol. 5, No. 9 (March 1999).

Mr. Domina frequently co-authors Financial Services Practice Client Advisories and is a regular contributor to the firm’s Corporate and Financial Weekly Digest on investment adviser, broker-dealer, hedge fund, investment company and related securities law topics.

Education

Mr. Domina received his undergraduate degree (B.A., 1987) from Stony Brook University (f/k/a University of New York at Stony Brook) and his law degree (J.D., 1991) from New York Law School, where he was Articles Editor for the New York Law School Law Review.