Brian Daly

Brian Daly advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the SEC, CFTC and NFA. Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries and in seeking no-action or similar relief. Having spent nearly a decade in-house as general counsel and chief compliance officer at several global investment management firms, Brian is well versed in the wide range of legal and business challenges facing investment advisers, commodity pool operators and commodity trading advisors. To learn more about Brian, please visit his profile here: https://www.akingump.com/en/lawyers-advisors/brian-t-daly · Akin

United StatesInvestment Management, Securities Regulation

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About

Brian Daly advises fund managers on regulatory, compliance, and operational matters, with extensive experience helping clients navigate SEC, CFTC, and NFA regulatory obligations. He regularly represents clients in regulatory examinations, enforcement actions, trading inquiries, and seeking no-action relief.

Practice areas

Investment ManagementSecurities RegulationCommodities RegulationRegulatory Compliance

Office

United States

Akin · Brian Daly advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the SEC, CFTC and NFA. Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries and in seeking no-action or similar relief. Having spent nearly a decade in-house as general counsel and chief compliance officer at several global investment management firms, Brian is well versed in the wide range of legal and business challenges facing investment advisers, commodity pool operators and commodity trading advisors. To learn more about Brian, please visit his profile here: https://www.akingump.com/en/lawyers-advisors/brian-t-daly

United States

Expertise

Fund ManagersInvestment AdvisersCommodity Pool OperatorsCommodity Trading Advisors

Education

J.D., Stanford Law School, with distinction, 1996