Dale C. Beggs

Dale Beggs is an associate in Dechert’s financial services group. Mr. Beggs is actively engaged in the firm’s global derivatives and structured products practice. He works with U.S. and non-U.S. investment managers and other financial institutions engaging in a range of derivatives and other transactions.

Mr. Beggs advises clients on SEC and CFTC derivatives regulatory matters, including compliance with certain requirements under the Investment Company Act of 1940, requirements adopted under the Dodd–Frank Act, and other requirements under the Commodity Exchange Act. He advises clients on requirements on commodity pool operators and commodity trading advisors. He also assists institutional market participants with navigating the CFTC and NFA regulatory landscape when trading in or offering crypto asset derivatives products.

Mr. Beggs represents clients in negotiating prime brokerage agreements, securities lending agreements, and derivatives trading documentation.

Mr. Beggs also regularly advises issuers on Investment Company Act status matters, including providing advice on avoiding investment company status.

Before starting his legal career, Mr. Beggs served as a fixed-income desk head for a leading proprietary trading firm. He has over eight years of experience directly managing high-stakes risk in a professional trading environment.