Brad Caswell

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.

Clients say:

"Brad Caswell is an extremely client-focused and business-oriented lawyer who provides advice pragmatically and with good judgement. He has has excellent understanding of his area of expertise. He provides solutions-focused advice on complex matters." - Chambers USA 2022

 

Brad’s prior experience includes:

• Schulte Roth & Zabel, Special Counsel
• DKR Oasis & DKR Capital, General Counsel, Chief Compliance Officer & Managing Director
• Goldman, Sachs & Co., Vice President & Assistant General Counsel
• Clifford Chance Rogers & Wells, Associate

Brad holds a Juris Doctor from Boston College Law School and obtained his undergraduate degree magna cum laude, from Georgetown University.

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 private fund managers, including SEC focus areas for private funds, conflicts of interest, investment allocation, co-investments, fees and expenses, custody, valuation, use of electronic communications, advertising rules and AML to name a few.

Brad’s published works include:

• “SEC Proposes Advertising and Cash Solicitation Rules Overhaul,” The Hedge Fund Journal, November/December 2019 (co-author)
• “SEC Final Interpretation of IA Standard of Conduct,” The Hedge Fund Journal, October 2019
• “Following the money,” HFM Week, July 31, 2019 (quoted)
• “AML review: US and Cayman,” HFM Compliance, July 29, 2019 (quoted)
• Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2018 (contributor)
• Private Equity Funds: Formation and Operation (Practising Law Institute), 2018-2019 (contributor)
• “New Form ADV: The Impact on Private Fund Advisers,” The Hedge Fund Journal, September 2016 (co-author)
• “The New AML Rules: Implications for Private Fund Managers,” The Hedge Fund Journal, Sept. 24, 2015 (co-author)
• “JOBS Act Update: CFTC Relief Removes Impediment to General Solicitation,” The Hedge Fund Journal, September 2014 (co-author)
• “How Should Hedge Fund Managers Approach the Identification, Prevention, Detection, Handling and Correction of Trade Errors? (Parts One, Two and Three),” The Hedge Fund Law Report, March 2013 (quoted)