Gemini Strengthens Regulatory Capabilities – Addition of SEC Veteran

Brian Privor joins as Chief Regulatory Officer – clients to benefit from deep experience in the regulation of asset management 

Gemini Strengthens Regulatory Capabilities – Addition of SEC Veteran

By | 2018-06-05T18:11:16+00:00 May 15, 2018|

The Gemini Companies (Gemini) announced today that it has appointed Brian Privor as Chief Regulatory Officer. In this new role, Mr. Privor will help ensure that both Gemini and its fund clients’ operations are optimally equipped to comply with rules set by the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, Inc. (FINRA), National Futures Association (NFA), and other industry regulators.

Mr. Privor’s 20 years of professional experience is deeply rooted in asset management and securities regulation, including seven years as Senior Counsel in the SEC’s Asset Management Unit in the Division of Enforcement, and the past year serving on the U.S. Senate Judiciary Committee investigating financial crimes. While at the SEC, he led investigations of a broad spectrum of federal securities laws violations, focusing on both registered and private funds, and assisted in litigating enforcement matters in federal court and administrative proceedings.  Prior to that, he was an associate at Morgan, Lewis & Bockius, LLP, where he focused on: corporate investigations, anti-corruption, anti-money laundering, and OFAC compliance; corporate governance; securities enforcement; and enforcement under various regulatory programs.

Mr. Privor received his Juris Doctor degree, cum laude, from Harvard Law School in 1998, and a Bachelor of Arts degree, summa cum laude, from Tulane University in 1995. Mr. Privor is licensed to practice law in California and the District of Columbia, and is admitted to the bar of the U.S. Supreme Court, D.C. Circuit, 9th Circuit, and various federal district courts.

Gemini’s CEO Kevin Hesselbirg commented, “Brian will be a tremendous asset to our organization and a sounding board for our clients as they seek to navigate the ever-evolving, complex regulatory landscape. Our staff will be able to leverage his knowledge and expertise as we seek to continually improve our operations and elevate Gemini’s entire compliance operations and officers to best-in-class.”

Mr. Privor will use his extensive experience to advise and oversee all aspects of Gemini’s compliance solution, which encompasses:

  • Leading due diligence and compliance reviews for new and existing funds and fund service providers
  • Advising fund boards and management on regulatory, risk management, and compliance matters
  • Reviewing existing compliance programs and making recommendations for best practice enhancements
  • Developing compliance programs, preparing policies and procedures, and conducting training
  • Preparing funds and fund advisors for SEC exams

“Gemini’s compliance program and deep bench of subject matter experts impressed me,” said Mr. Privor.  “I am looking forward to bringing my compliance background and experience with the SEC to Gemini’s extensive, sophisticated clients and partners.”

About Gemini

Since 1983, Gemini has been providing our partners an ever-expanding suite of services for their investment products, such as modern investor servicing tools, portfolio administration and accounting, comprehensive compliance programs, and guidance on regulations, auditing, and distribution. Gemini’s consultative approach and culture of service helps managers and investors navigate and flourish in today’s increasingly sophisticated and dynamic investment landscape.

Gemini provides a single, integrated solution that supports the launching and servicing of mutual funds, hedge funds, ETFs, private equity funds, variable annuity trusts, and state-sponsored 529 plans. We also offer customized structures designed to support the unique needs of pensions, endowments, and foundations.

Gemini is a subsidiary of NorthStar Financial Services Group, LLC, which has over 875 employees and over $777 billion in assets under management and administration as of February 28, 2018. For more information, please visit www.thegeminicompanies.com.

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7661 GFS 5/1/2018
2067-NLD-5/16/2018