Brian Regan (CCO)
Brian Regan is the Chief Compliance Officer for SwapEx and joined State Street in 2012. In this role, Mr. Regan will be responsible for satisfying the requirements for a chief compliance officer of a swap execution facility (SEF), as set forth under the Commodity Exchange Act and CFTC rules and guidance. In addition to his work on the SwapEx SEF project. Regan has also worked on business and regulatory matters concerning State Street’s other e-exchange trading platforms as well as State Street’s clearing services for futures and OTC products.
Before joining State Street, Regan had been working on regulatory and compliance issues involving regulated derivatives markets for over 20 years. Regan began his career in the derivatives field as an attorney in the CFTC’s Division of Trading and Markets, assessing the adequacy of DCM self-regulatory programs and rule and product filings. Regan then worked for nearly 14 years in the Legal Department of the New York Mercantile Exchange (NYMEX) and thereafter at the CME Group (following the CME’s acquisition of NYMEX). During that period, Regan worked on a diverse range of compliance and regulatory matters and served as the legal advisor for NYMEX’s Business Conduct Committee. Regan also served for approximately one year as a co-branch manager for a branch trading floor established in Dublin, Ireland. More recently, Regan assisted MarketAxess and TeraExchange in establishing their compliance structures, rulebooks and procedures in preparation for filing a SEF application.
Mr. Regan earned a Bachelor’s Degree with honors and a Juris Doctor degree with distinction, both from the University of Iowa. He has also taken several LL.M. courses in financial regulation from the Georgetown University Law Center and from New York Law School.