Brian T Daly
Global Guide 2024
Band 1 : Investment Funds: Regulatory & Compliance
Band 1
About
Provided by Brian T Daly
Practice Areas
Advises hedge and private equity fund managers on regulatory, compliance and operational matters. Has extensive experience designing compliance policies and processes and regularly represents clients in examinations, enforcement actions, and informal inquiries from the U.S. Securities and Exchange Commission, the Commodity Futures Trading Commission, the National Futures Association, and numerous futures exchanges and SEFs. Also well known for representing Asian and UK-based managers, as well as Quantitative and Systematic managers. Having spent nearly a decade in-house as general counsel and chief compliance officer of several prominent investment management firms, Brian is well versed in the wide range of legal and business challenges facing managers.
Professional Memberships
ABA Business Law Section, Investment Companies and Investment Advisers Subcommittee, NYC Bar Association Private Investment Funds Committee, MFA Outside Counsel Forum; MFA CTA/CPO Forum (Former Member, Steering Committee); AIMA CFTC Working Group; Former Member, MFA General Counsel Forum, MFA Investment Advisory Committee.
Personal
Stanford Law School, JD, with distinction; Phi Beta Kappa
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Asia-Pacific Region
China
