Brad L. Caswell

Brad Caswell is a special counsel in the New York office, where his practice focuses on counseling hedge and private equity funds on operational, regulatory and compliance matters. He provides guidance to clients on a broad range of issues including those related to the U.S. Investment Advisers Act, other federal, state and self-regulatory organization requirements, and securities trading rules in the U.S. Brad also provides guidance to clients with operations in Hong Kong, Japan and other markets throughout Asia, and the U.K., with respect to regulatory, compliance, trading and operations.

With 12 years of in-house experience including as general counsel and chief compliance officer of investment advisers ranging from multi-billion dollar funds to start ups, and his experience in the asset management group of a leading investment bank, Brad offers a valuable perspective on investment management operations and compliance issues. He is a 1996 graduate of Boston College Law School and a 1992 graduate of Georgetown University.

Selected Representations

Served as general counsel and chief compliance officer of a global multi-strategy adviser with over $3 billion in AUM and offices in the United States, Asia, Europe and Middle East, and was responsible for all legal and compliance matters including managing a 10-member legal/compliance team and network of outside counsel.

Launched a multi-strategy adviser’s U.K., Hong Kong and Sydney offices, oversaw offices in the U.S., Israel and Japan, and coordinated the firm’s effort to gain access to additional markets, including India, Korea and emerging markets across Asia.

As chief compliance officer of a global multi-strategy adviser, conducted global compliance training for all employees and implemented all compliance policies and procedures on a day-to-day basis.

Represented private fund managers in examinations and regulatory matters before the U.S. SEC, Hong Kong SFC, and Japan FSA and has overseen mock SEC audits, including reviews of adviser operations/internal controls, management interviews and implementation of recommendations.

Launched and coordinated day-to-day legal matters for numerous hedge funds and managed accounts across strategies, including long/short, global macro, credit, event-driven, multi-strategy, commodities, quantitative strategies and funds-of-funds.

Selected Publications

Bar Admissions

• New York

Education

Prior Experience

City on a Hill Capital LP
    General Counsel & Chief Compliance Officer
CounselWorks LLC
    Managing Director
DKR Oasis & DKR Capital
    General Counsel, Chief Compliance Officer & Managing Director
Goldman, Sachs & Co.
    Vice President & Assistant General Counsel
Clifford Chance Rogers & Wells LLP
    Associate