Brad Caswell

Practice Areas

Brad heads the U.S. Financial Regulation Group. Brad’s practice extends across the spectrum of regulatory and compliance matters in the U.S. He has extensive experience advising global financial institutions, investment managers and private fund managers on issues related to the U.S. Investment Advisers Act, ESG, new marketing rules in the U.S., insider trading laws, conflicts of interest, business continuity, and anti-money laundering.

Brad is an accomplished funds lawyer who counsels global financial institutions, investments managers, hedge, private equity, credit and real-estate funds on operational, regulatory, compliance and formation matters. Brad has represented numerous private fund managers in SEC examinations. He also regularly advises on SEC registration (and exemptions) and implementing strong and practical compliance programs. He frequently provides compliance training to clients.

With over a decade of in-house experience, Brad is uniquely positioned to advise clients having served as General Counsel and Chief Compliance Officer of a large private fund manager in Hong Kong and the U.S., and as counsel at Goldman Sachs.

Brad is a frequent speaker and writer on the topics of fund operations and regulatory compliance. He has presented on a wide array of regulatory/compliance matters critical for global investment managers and private fund managers, including ESG, SEC focus areas for private funds, conflicts of interest, investment allocation, co-investments, fees and expenses, custody, valuation, use of electronic communications, marketing rules and AML to name a few.