Barry Breen

Chief Compliance Officer

 

Mr. Breen is responsible for the regulatory risk management and compliance functions for Exeter and its affiliated entities.  He leads the internal processes for promoting and ensuring Exeter’s compliance with laws, regulations, company policies and contracts.  He is also responsible for formulating and implementing Exeter’s policies and procedures, including its Code of Ethics, and ensuring employees are trained on the content and practices of this Code.  Prior to joining Exeter, Mr. Breen was a Partner and the head of the financial services department of the London office of Katten Muchin Rosenman UK LLP and, prior to that, was a member of the Investment Advisers, Funds and Derivatives group at Sidley Austin LLP.    He is admitted to practice law in the State of New York and is a solicitor qualified under the laws of England and Wales.  Mr. Breen, having practiced in New York City and in London, has extensive experience in advising clients on structuring investment products and on regulatory and compliance matters.  He earned a JD, graduating Magna Cum Laude, from Albany Law School, and an LL.M in Taxation from New York University School of Law.


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