Advises hedge, private equity and real estate fund managers on regulatory, compliance and operational matters. Has extensive experience designing compliance policies and processes and regularly represents clients in enforcement actions, examinations and informal inquiries from the U.S. Securities and Exchange Commission, the Commodity Futures Trading Commission, the National Futures Association, and numerous futures exchanges and SEFs. Also well known for representing Asian-based managers with U.S. jurisdictional ties. Having spent nearly a decade in-house as general counsel and chief compliance officer of several prominent investment management firms, Brian is well versed in the wide range of legal and business challenges facing managers.
MFA Outside Counsel Forum; MFA’s CTA, CPO & Futures Committee and its CTA/CPO Forum (Former Member, Steering Committee); AIMA CFTC Working Group; Former Member, NYC Bar Association Private Investment Funds Committee, MFA General Counsel Forum, MFA Investment Advisory Committee.
Stanford Law School, JD, with distinction.