Brad Caswell has joined Schulte Roth & Zabel as a special counsel in the New York office. His practice will focus on counseling hedge and private equity funds on operational, regulatory and compliance matters.
Brad Caswell joins Schulte Roth & Zabel as 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 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.