Mr Brian Daly > Schulte Roth & Zabel LLP > New York, United States > Lawyer Profile
Schulte Roth & Zabel LLP Offices
919 THIRD AVENUE
NEW YORK, NY 10022
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Mr Brian Daly
Investment Management, Regulatory & Compliance, Private Equity, Blockchain Technology & Digital Assets, Hedge Funds, Energy, Cybersecurity & Data Privacy
Brian T. Daly advises hedge, private equity and real estate fund managers on regulatory, compliance and operational matters. He has extensive experience designing and improving compliance processes and organizational systems and helps clients navigate their initial and ongoing regulatory compliance obligations under the rules and regulations of the Securities and Exchange Commission, the Commodity Futures Trading Commission, and the National Futures Association. Brian also regularly represents clients in enforcement actions, regulatory examinations, trading inquiries, and in seeking no-action or similar relief. 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 investment advisers, commodity pool operators and commodity trading advisors.
Brian is a recognized leader in advising alternative investment fund managers on regulatory and compliance matters and is well-known for his thought leadership in this area. Chambers Global and Chambers USA list Brian as a “leading individual” in investment funds. In addition, Brian is a member of the Managed Funds Association’s Outside Counsel Forum and its CTA/CPO Forum (of which he was formerly a Steering Committee member) and of the CFTC Working Group of the Alternative Investment Management Association. He formerly was a member of the New York City Bar Association’s Private Investment Funds Committee and the MFA’s General Counsel Forum, its CTA, CPO & Futures Committee and its Investment Advisory Committee. In addition to his legal practice, Brian taught legal ethics at Yale Law School. Brian received his J.D., with distinction, from Stanford Law School.
MFA’s CTA, CPO & Futures Committee and its CTA/CPO Forum (Former Member, Steering Committee); AIMA CFTC Working Group; Former Member, NYC Bar Association Private Investment Funds Committee, MFA Outside Counsel Forum, MFA Investment Advisory Committee.
Stanford Law School, JD, with distinction.
Schulte Roth & Zabel LLP’s hedge fund practice provides comprehensive support to the market’s largest fund managers. Jointly led by Stephanie Breslow, David Efron, Marc Elovitz and David Nissenbaum, the team advises on the formation of a wide range of liquid-securities funds, including hedge funds, funds-of-funds, hybrid funds, and activist funds. Daniel Hunter is active in the growing secondary and credit funds space, while Jennifer Dunn has experience in the formation of managed accounts and single investor funds. Marc Elovitz and Brian Daly are noted for their regulatory expertise, with experience of designing internal compliance procedures, representing clients in enforcement actions before all the principal financial regulatory bodies, and obtaining SEC relief and exemption letters for novel fund structures. Stephanie Breslow, and David Nissenbaum chiefly focus on fund formation for institutional investors and managers, while David Efron is experienced in advising start-up funds.
Top Tier Firm Rankings
- Investment funds > Alternative/hedge funds
- Finance > Structured finance: derivatives and structured products
- M&A/corporate and commercial > M&A: middle-market ($500m-999m)
- Finance > Structured finance: securitization
- Investment funds > Private equity funds (including venture capital)
- Labor and employment > ERISA litigation
- Finance > Financial services regulation
- Dispute resolution > M&A litigation: defense
- Real estate > Real estate
- Dispute resolution > Securities litigation: defense
- Tax > US taxes: non-contentious
- Dispute resolution > General commercial disputes
- Dispute resolution > Corporate investigations and white-collar criminal defense
- M&A/corporate and commercial > Shareholder activism