Daren R. Domina

Partner

New York


30 Rockefeller Plaza
26th Floor
New York, New York 10112
T +1 212.659.4963
F +1 212.884.8217

Daren R. Domina

Daren R. Domina is a partner in the Investment Funds and Private Equity Practice Group in the New York office of Haynes and Boone, LLP and is the head of the Broker-Dealer Regulatory Practice Group. He provides advice primarily to securities broker-dealers and registered and unregistered investment advisers on a broad range of registration, regulatory, compliance and inspection/enforcement/litigation matters. Daren also is involved in matters regarding formation and offerings of domestic and offshore private investment funds, as well as related regulatory issues.

Selected Publications and Speeches

  • "Understanding Investment Adviser Registration and Private Fund Due Diligence," 10th Annual Emerging Issues Forum (MA Public Employee Retirement Administration Commission), September 18, 2014.
  • "Broker-Turned-Adviser Loses Jury Verdict in Misrepresentation Case," quoted in ACA Insight, August 25, 2014.
  • "Dually Registered Advisers are Not Excused from Best Execution," quoted in ACA Insight, August 11, 2014.
  • "The Secondary Market for Hedge Fund Interests," New York Family Office - Private Fund Roundtable, June 12, 2013.
  • "Protecting Your Assets: Utilizing Custodial Accounts and Brokerage Accounts," Haynes and Boone Seminar, May 2, 2013.
  • "Collateral Protection for Financial Assets: Current Legal Trends," live webinar/teleconference presented by Strafford Publications, Inc., December 4, 2012.
  • "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 1 and Part 2: Selected Topics," April 2009 and October 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.