Daren R. Domina

Profile

Daren R. Domina is a partner in the Investment Management and Private Equity Practice Groups in the New York office of Haynes and Boone and is the head of the Broker-Dealer Regulatory Practice Group. He provides advice to private investment funds, securities broker-dealers, family offices and registered and unregistered investment advisers on a broad range of formation, structuring, registration, regulatory, compliance and inspection/enforcement/litigation matters.

Selected Publications and Speeches

  • "Understanding Investment Adviser Registration and Private Fund Due Diligence," speaker, 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," speaker, New York Family Office - Private Fund Roundtable, June 12, 2013.
  • "How and Why Do Hedge Funds Managers Set Minimum Subscription Amounts?" quoted in The Hedge Fund Law Report, Vol. 6, No. 23 & No. 24, June 2013.
  • "Protecting Your Assets: Utilizing Custodial Accounts and Brokerage Accounts," speaker, Haynes and Boone Seminar, May 2, 2013.
  • "Collateral Protection for Financial Assets: Current Legal Trends," speaker, 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," principal speaker, law firm presentation, September 2011.
  • "The Final Countdown…It's Time to Prepare for the New Era of Investment Adviser Regulation!" principal speaker, law firm presentation, March 2011.
  • "A Practical Guide to Investment Adviser Registration," principal speaker, law firm presentation, 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.
  • "Consequences for Global Hedge Fund Managers of the 'Foreign Private Adviser' Exemption Included in the Dodd-Frank Act," quoted in The Hedge Fund Law Report, Vol. 3, No. 33, August 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. 

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