Brian T. Daly

Brian 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, the CFTC, and the NFA. Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries, and in seeking no-action or similar relief. As a former GC and CCO 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.