Brian Doohan Email & Phone Number

Man Global Private Market (USA) Inc.Responsible for developing, implementing, and monitoring written supervisory procedures that are designed to prevent, detect, or identify violations of applicable U.S. and non-U.S. securities, commodities and tax laws and regulations related to Man GPM’s investment advisory activities. Prior Experience: Man/GLG/FRMPrincipally responsible for the design and implementation of daily compliance testing and reporting for four, Security Exchange Commission (“SEC”) registered, Investment Advisers, two of which managed investment companies registered under the Investment Company Act of 1940. In addition, three of the Investment Advisers are registered with the National Futures Association (“NFA”) as Commodity Trading Advisers (“CTA”) and Commodity Pool Operators (“CPO”), and one CTA is regulated by the U.K.’s Financial Conduct Authority (“FCA”). Monitor trading desk activities including “real-time” trade review and authorization involving regular interaction with Head Trader and Trading Group staff. Prepare compliance reports and summaries for review by CCO and Investment Company Boards of Directors as well as responsible for investment company regulatory filings with the SEC. Compliance objectives completed during tenure: took the lead for the development and implementation of Man Group’s Form PF and PQR reporting procedures; analysis and implementation of Rule 506(d) “Bad Actor” requirements; took the lead on three National Futures Association cycle audits; developing legal and compliance responses for due diligence questionnaires and requests for proposals; and drafted and presented compliance presentation for due diligence meetings with existing and potential investors.

Listed skills include Alternative Investments, Hedge Funds, Due Diligence, Investments, and 9 others.