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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November 10, 2021
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July 24, 2017
Publications
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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
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October 14, 2020
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September 17, 2020
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April 28, 2020
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March 19, 2020
- View All Publications
Presentations and Events
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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