CHUCK DALY is counsel in Sidley’s Investment Funds practice. He has extensive experience working with traditional and alternative investment advisers on regulatory compliance requirements, structures and programs, ongoing compliance monitoring, testing protocols and the management and coordinating of regulatory exams and reviews. His work with investment advisers focuses on the practical design, implementation and on-going administration of compliance programs for registered and unregistered advisory firms. In providing those services to investment advisers, he has gained experience drafting and editing policies and procedures and disclosure documents for managers offering a multitude of products and investment strategies across a variety of asset classes. Chuck’s regulatory support covers SEC, NFA, CFTC, CME, FINRA, FCA (UK) and CIMA (Cayman) regulations and reporting.
Prior to joining Sidley, Chuck led Constellation Advisers’ regulatory and compliance practice. He was the head of regulatory and compliance services at JPMorgan Chase Bank, where he led a team of professionals that provided fund administration, regulatory, and post-trade compliance support for investment company, investment advisory and pension plan clients. He also served as the chief compliance officer and general counsel at Ironwood Investment Management and senior regulatory counsel at BISYS Fund Services. Chuck began his legal career at another global firm, where he assisted investment company and investment advisers with the interpretation of and compliance with federal and state laws and federal securities registration and regulatory compliance.
*Admitted to practice in Massachusetts and New Jersey. Not admitted to practice in New York.