Brian Rafferty Email & Phone Number

New York, Ny, Us

Us

Us

• Advise investment managers on a broad array of matters related to regulatory, compliance and internal operations issues under the Investment Advisers Act of 1940 and other laws. • Review client marketing materials for compliance with the SEC’s Marketing Rule.• Assist clients in developing appropriate policies and procedures to meet their obligations. • Work with clients to ensure they meet their Form ADV and Form PF obligations. • Counsel clients in the formation and operation of private investment vehicles.

New York, Ny, Us

• Advise on $9 billion dollar fundraise for flagship private equity fund on a tight time frame. Partner with client’s investor relations team to manage distribution of subscription documents and liaise with investors throughout the subscription process. • Manage onboarding of investors into sponsors' funds in coordination with sponsors' fund management teams and ensure investors meet SEC Rule 501, Investment Advisory Act and Investment Company Act requirements. • Oversee and coordinate secondary market limited partnership transfer process for private equity sponsors across dozens of funds. Supervise attorneys and paralegals working on over 50 transfers simultaneously across multiple clients to ensure client and investor needs are met. • Co-lead knowledge management initiative for secondary transfers. Plan and implement processes for assembling firm-wide secondary transfer tracking chart and precedents database. • Author and co-present a CLE on secondary transfers. • Develop iterative and scalable processes to reduce costs and improve client service. Aggressively manage investor invoicing process resulting in significantly increased realization of billed time.

New York, Ny, Us

• Spent four months seconded with a major private equity infrastructure firm during a critical time in the firm's growth. Attended review and investment committee meetings and engaged in general corporate work. • Negotiated and tracked non-disclosure agreements and coordinated with the compliance team to ensure a restricted list was properly maintained. Reviewed and negotiated non-reliance letters, engagement letters, vendor contracts and marketing materials.

New York, Ny, Us

• Performed first and second level review of clients’ documents for responsiveness and privilege in Securities and Exchange Commission (SEC) investigations, internal investigations, and civil matters. • Worked on cases in areas including antitrust, bankruptcy, investment management, accounting fraud, LIBOR, securities marketing, and FCPA violations. • Conducted a privilege review of Simpson Thacher internal documents in a matter stemming from the bankruptcy of a company for which Simpson Thacher had represented a sponsor in the purchase of the company. Developed and ran searches to isolate documents with third party privilege waiver and common interest privilege issues. Created privilege log entries. • Worked extensively in preparation for a District Court hearing on Federal Trade Commission’s (FTC) request for preliminary injunction halting client’s merger. Wrote memoranda summarizing depositions and designated depositions in LiveNote. Created a chart of useful deposition quotes for the use of attorneys writing brief. Researched and analyzed FTC declarants’ business practices including their spending habits and distance from competitors in an effort to undermine their declarations.

New York, Ny, Us

Worked on E-Discovery Projects in practice areas including FCPA, anti-trust, and residential mortgage backed securities(RMBS). Reviewed client’s documents for responsiveness and privilege using Relativity. Performed searches in Relativity for potential production conflicts and helped prepare associates for depositions. Worked on the Quality Control (QC) team; made and reviewed outsourced privilege redactions; developed and edited privilege log. Worked extensively with Excel.

Toronto, On, Ca

Managed a small team of reviewers as a junior manager on a pharmaceutical patent review for a Toronto law firm. Acted as the first point of contact for reviewers regarding assignments, technical problems, and substantive issue. Assisted reviewers when possible and passed requests onto senior project manager when necessary. Performed QC on reviewers’ batches, corrected errors, reported problem batches to the senior project manager, and reinstructed reviewers deviating from the coding protocol. Made redactions for: HIPPA, non-responsive sensitive corporate information, and privilege. Maintained detailed quality control notes in an Excel spreadsheet.

San Francisco, California, Us

Managed a team of 50 reviewers over the course of a four month off site review for an antitrust litigation. Supervised the distribution of assignments and prioritized workflow in accordance with associates’ wishes. Acted as point person on the ground and communicated with the associates by email and phone on a constant basis to ensure deadlines were met. Used Relativity to create daily Excel chart updates regarding review progress and reviewer productivity. Informed associates of the quality of individual reviewers and made recommendations when staffing changes were required. Assisted reviewers with technical issues using Relativity. Answered questions and provided guidance regarding antitrust and price fixing issues. Updated the coding manual by preparing and distributing handouts to reviewers regarding review protocol changes. Communicated with Relativity vendor on daily basis regarding system issues. Provided first point of contact for reviewers and was conduit for issues and concerns to associates, agency staff, as well as hardware and software vendors. Handled sign in sheets and checked reviewers’ hours. Dealt with facilities issues including inventorying and receiving supplies.

Doctor Of Law (Jd), Law

Bachelor Of Arts (B.A.), Political Science