Seth Davis counsels various types of fund sponsors across a host of regulatory and enforcement matters. He advises on matters involving innovative registered and unregistered funds products, Investment Advisers Act compliance, SEC examination and enforcement matters, and broker-dealer regulatory compliance. During his time as Senior Counsel at the U.S. Securities and Exchange Commission in the Division of Investment Management, Chief Counsel’s Office, he worked on review of novel products and rules, including the Marketing Rule under the Investment Advisers Act.
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Accolades
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Boston Magazine “Top Lawyers List – Corporate Law” (2021)
Education
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Boston University School of Law, 2013 J.D.
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University of Florida, 2010 B.A.
Seth Davis is Counsel in Simpson Thacher’s Funds Regulatory and Investigations Practice. Based in the Firm’s Boston office, he counsels various types of fund sponsors across a host of regulatory and enforcement matters. He advises on matters involving innovative registered funds products, Investment Advisers Act compliance, SEC examination and enforcement matters, and broker-dealer regulatory compliance. His practice is specifically focused on preparing clients for SEC examinations and advising on creative and achievable solutions post-examination. He also represents investment advisers in high-stakes SEC enforcement investigations.
Seth has extensive knowledge of the regulatory requirements of the asset management industry. During his time as Senior Counsel at the U.S. Securities and Exchange Commission in the Division of Investment Management, Chief Counsel’s Office, he worked on review of novel products and rules, including the Marketing Rule under the Investment Advisers Act. He has also spent time in private practice, having worked at another large international law firm. Seth has experience structuring new advisers, reorganizations and mergers and acquisitions in the asset management industry.
Seth was named to Boston Magazine’s “Top Lawyers List” in 2021 in recognition of his exceptional corporate law practice. He received his J.D. from Boston University School of Law and his B.A. in Economics from the University of Florida. He is admitted to practice in Massachusetts.