Key Experience

  • Advises hedge, private equity and real estate fund managers on regulatory, compliance and operational matters.
  • Extensive experience designing and improving compliance processes and organizational systems.
  • Regularly represents clients in enforcement actions, regulatory examinations, trading inquiries and in seeking no-action or similar relief.

Practice

Brian advises fund managers on regulatory, compliance and operational matters. He has extensive experience helping clients navigate their regulatory compliance obligations under the rules and regulations of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA). Brian also regularly represents clients in regulatory examinations, enforcement actions, trading inquiries and in seeking no-action or similar relief. Having spent nearly a decade in-house as general counsel and chief compliance officer at several global investment management firms, Brian is well versed in the wide range of legal and business challenges facing investment advisers, commodity pool operators and commodity trading advisors. 

Speeches

Public Service and Affiliations

Recognition