Senior Advisor - Counsel
Scott joined Blue Heron in 2022. He is the founder of Regulatory Counsel LLC, a law firm advising private funds and the vendors that serve them concerning regulatory, legal, and business issues. Before that, Scott was Regulatory Counsel and Chief Compliance Officer at Highfields Capital Management, where he was responsible for monitoring and ensuring the firm’s compliance with the rules and regulations of the SEC, CFTC, NFA, Department of Labor, and other domestic and foreign regulators. Scott joined Highfields from PwC’s Financial Services Regulatory Practice, and previously served as a branch chief in the Division of Enforcement at the Securities and Exchange Commission. While at the SEC, Scott led enforcement and examination teams investigating a wide range of traditional and alternative asset managers and issues, including mutual fund market timing, insider trading, and misrepresentations concerning assets under management, performance, and risk management.
Scott has collaborated on investigations with regulators at the CFTC, Federal Energy Regulatory Commission, Department of Labor, FBI, Department of Justice, and numerous state securities regulators. He was a member of the SEC’s Hedge Fund Working Group and won an Enforcement Division Director’s Award in 2007 and 2008. Prior to joining the SEC, Scott was a litigation associate for five years at Ropes & Gray LLP, where his practice focused on responding to regulators in government enforcement matters. Scott is a graduate of the University of Michigan Law School and clerked for the Honorable Norman Stahl, Circuit Judge, on the United States Court of Appeals for the First Circuit. He has a BS in psychology and English from St. Lawrence University.