We are pleased to welcome David G. Adams as a Member in the firm's Corporate Practice.
David is a seasoned regulatory and enforcement attorney with 20 years of experience in the financial services industry. He partners with innovators around the world to help them capitalize on emerging US legal and regulatory trends at the intersection of financial technology and US financial regulation. David will be located in our Washington, DC office.
David has significant experience providing legal and strategic advice on the establishment and maintenance of US and cross-border brokerage, investment advisory, and crypto asset operations. This work includes devising optimal US and cross-border operational structures, implementing required procedures, and creating and negotiating a broad spectrum of agreements. He also represents broker-dealers and investment advisers in acquisitions, restructurings, and expansions.
As a go-to advisor on financial regulatory matters, David counsels clients on questions involving SEC and Financial Industry Regulatory Authority (FINRA) regulations and related state laws, including rules involving individual registration and licensing, marketing and advertising, supervision, trading, and sales practices. Clients also seek David's counsel on internal audits and investigations, mock examinations, and SEC and FINRA inquiries, investigations, and enforcement actions. In addition, he has assisted with the development of SEC-compliant ESG programs, policies, and procedures.
A recognized authority on the application of US broker-dealer and exchange/ATS frameworks to crypto asset companies, David frequently speaks on related issues and has been quoted in numerous publications, including theWall Street Journal.
David's prior experience includes working at two global law firms, in the SEC's Division of Investment Management, and in the Market Regulation & Transparency Services Department at FINRA. He earned his JD, cum laude, from Catholic University of America and a BA from Rhodes College.
David can be reached at DAdams@mintz.com