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James Kwok
James Kwok
New York +1 212 841 1033 Download V-card

James Kwok assists clients with private investment fund, capital markets, and derivatives transactions. He regularly advises financial institutions, asset managers and commercial entities on a wide range of regulatory and policy matters, including with respect to federal securities law and the Commodity Exchange Act.

Mr. Kwok also has passed all three levels of the Chartered Financial Analyst exams.

  • A major financial institution in restructuring its trading and markets operations under the Securities Exchange Act.
  • Fund of funds in numerous private equity fund secondary transactions.
  • Alternative investment fund sponsor in connection with various aspects of a private equity fund targeting stressed, distressed and special credit opportunities in India.
  • Alternative investment fund sponsor in connection with various aspects of its private equity funds targeting investments in emerging markets.
  • Corporate end-users of derivatives on various aspects of their participation in these markets.
  • Financial institutions in connection with registration as swap dealers and swap execution facilities.


Memberships and Affiliations

  • New York State Bar Association

Previous Experience

  • Seconded to the legal department of a bulge bracket investment bank, supporting bankers in equity capital markets, financial advisory and private funds advisory matters. (2013-2014).