With more than 15 years of experience in financial services regulation and enforcement, David specializes in the intersection of technology and US financial regulatory frameworks. He leverages his government and private practice experience to partner with innovative clients and help them capitalize on emerging US legal and regulatory trends.

Mr. Adams advises clients in areas including:

  • The establishment and maintenance of US and cross-border brokerage, investment advisory, and digital asset operations, including the creation of optimal regulatory structures and the drafting of Rule 15a-6 agreements and related policies and procedures.
  • Regulatory questions arising for broker-dealers, investment advisers, and other financial institutions under SEC, FINRA, and state law, including with respect to individual registration and licensing, marketing and advertising, supervision, trading (best execution, short sales, and trade reporting), and sales practices (suitability, conflicts of interest, and Regulation BI).
  • Internal audits and investigations, mock examinations, and SEC and FINRA inquiries, investigations, and enforcement actions.
  • Broker-dealer and investment adviser formations, acquisitions, restructurings, and expansions, including advice on the preparation and completion of broker-dealer Materiality Consultations, Continuing Membership Applications, and New Member Applications.
  • The development of SEC-compliant ESG programs and policies and procedures for broker-dealers and investment advisers.

Experience

工作经历

EXPÉRIENCE

ERFAHRUNG

Professional Activities

Mr. Adams is a member of the NY Bar Association and the DC Bar Association.  He is also active with the Digital Chamber of Commerce.

Professional Experience

Before joining Goodwin, Mr. Adams worked in the DC office of a leading Magic Circle law firm, where he advised clients on US and cross-border broker-dealer and investment adviser regulatory and enforcement issues involving traditional and digital assets, as well as ESG considerations. Earlier, Mr. Adams worked at both the US Securities and Exchange Commission in the Division of Investment Management and the Financial Industry Regulatory Authority in Market Regulation.

Recognition

David was recognized for exceptional client service in the Legal 500 USA 2021 with a client stating: “David Adams is an exceptional talent with a multi-continental experience. David has been critical in helping us navigate global regulatory issues. His off-hand knowledge of even the most complex jurisdictional nuances and the way he helps us to understand their impact on our business is truly fabulous.”

Credentials

专业资格

RÉFÉRENCES

WERDEGANG

Admissions

Bar

Washington, D.C.
New York
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Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.

客户信赖我们世界一流的咨询服务,希望获得针对复杂事务性工作与高风险诉讼的建议。我们通过协作式、跨领域的工作方法来解决客户最棘手的问题,涵盖金融、生命科学、私募股权、不动产和技术等多个行业。如需更多信息,请与我们联系。

Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

Unsere Kunden verlassen sich auf unsere erstklassige Beratung, vor allem im Hinblick auf komplexe Transaktionen und High-Stakes-Prozesse. Spezialisiert auf Angelegenheiten der Finanz-, Life-Sciences-, Private-Equity-, Immobilien-und Technologie-Branchen, verwenden wir einen kooperativen und interdisziplinären Ansatz, um Fragen unserer Kunden auch in extremen Spezialsituationen einer Lösung zuzuführen. Sie wollen mehr erfahren? Kontaktieren Sie uns gerne.

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