About James M. Brady
James Brady helps clients deal with a wide range of financial services regulatory matters. He also offers counsel on developing laws and regulations related to cryptocurrencies and digital tokens.
Selling or buying, compliance is the best policy
James works with buy-side and sell-side clients, trading facilities and clearinghouses. He deals with securities and derivatives regulatory obligations, registrations and related corporate and transactional issues. He also helps clients with examinations, enforcement actions and cross-border management.
Practice Focus
- Financial services
- Securities and derivatives
- Broker-dealer regulation
- Financial services regulatory and compliance
- Private fund formation
- Proprietary trading firms
- Distributed ledger products, services and technology
News
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July 26, 2022
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April 11, 2022
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November 10, 2021
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July 24, 2017
Publications
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September 15, 2022
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August 15, 2022
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April 5, 2022
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March 8, 2022
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March 25, 2021
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February 2, 2021
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November 16, 2020
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October 22, 2020
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October 16, 2020
- View All Publications
Presentations and Events
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November 14–15, 2022
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June 15, 2022Speaker | What Does ESG Mean for Derivatives Markets?
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May 19, 2022
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March 8, 2022Panelist
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February 24, 2021Panelist
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November 17, 2020Speaker
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June 18, 2020Panelist | Lessons Learned and the Status of Regulatory Relief
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February 14, 2020Speaker
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June 26, 2019Panelist