Nicole M. Kalajian

Counsel

nkalajian@stradley.com

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Nicole Kuchera
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Overview

Nicole represents securities and commodities professionals in a variety of regulatory, compliance and corporate matters. She has extensive experience with respect to hedge funds, commodity pools, private equity funds, cryptocurrency funds, venture capital funds, real estate funds, fund of funds and socially responsible investment vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisors (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms, futures commission merchants (FCMs)  and broker-dealers (BDs). Nicole provides legal and compliance guidance concerning the launch of securities token offerings (STOs), i.e., compliant initial coin offerings (ICOs). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs).

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Focus

Results

Representative Matters

  • assisted international investment adviser with registration of its billion-dollar private fund real estate/hospitality investment complex with the SEC, restructuring of the managers, preparation of compliance materials and revising relevant fund offering materials
  • represented various international investment advisers with SEC and CFTC registration and revision of international compliance materials to comply with U.S. laws and regulations
  • assisted various private equity, hedge fund, venture capital, cryptocurrency, commodity pool, real estate and alternative asset vehicle launches, registrations, regulatory, compliance and new product initiatives
  • advised on cryptocurrency regulations and initiatives
  • advised large family offices on various ongoing regulatory and investment considerations
  • advised major securities industry organization in connection with cryptocurrency initiative
  • advised major securities industry organization in connection with response to CFTC request for industry comment
  • evaluated commodity pool operator and commodity trading advisor status of financial services clients; identification of available exemptions; CFTC and NFA registration and compliance
  • developed tailored compliance programs in response to new regulations and product initiatives
  • assisted with registration and compliance of robo-advisers platforms
  • assisted with due diligence in connection with acquisitions and sales of leading investment firms
  • assisted institutional investors in analyzing investment opportunities in various types of private fund and other investment vehicles, as well as in negotiating side letters
  • assisted with industry comment letters and requests for no action relief
  • assisted with SEC and NFA examinations and investigations
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Credentials

Bar Admissions
  • Illinois
Court Admissions
  • U.S. District Court for the Northern District of Illinois
  • U.S. Supreme Court
Education
  • LL.M., Chicago-Kent School of Law
  • J.D., Chicago-Kent School of Law
  • B.S., DePaul University
  • Investment Adviser Certified Compliance Professional® (IACCP®)
Memberships

  • Founder, Investment Network
  • Founder, Digital Assets Working Group 
  • Director, Washington DC Compliance Roundtable
  • Chicago Bar Association: Futures & Derivatives Law Committee, Financial & Investment Services and Securities Law Committee
  • Women in Listed Derivatives (WILD)
  • 100 Women in Finance
  • Hedge Fund Cares
  • Investment Advisers Association
  • Association for Corporate Growth
  • The Saints
  • The Art Institute of Chicago Evening Associates
  • International Travel Writers & Photographers Alliance (ITWPA)

Publications

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News

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Upcoming Presentations

Recent Presentations

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Speaking Engagements

  • Speaker, “Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements Marketing,” National Regulatory Services
  • Moderator, “Making an Impact: Philanthropy, Charitable Giving & Social Justice,” Hedge Fund Association
  • Speaker, Bitcoin, Blockchain & Digital Currency Law Webinar, Rossdale
  • Speaker, CBA Investment Management Sub-Committee Meeting, Chicago Bar Association
  • Speaker, Fireside Chat with Amy Kabaria of Blockress, International Blockchain Congress
  • Presenter, “Books and Records Requirements for Investment Advisers,” Investment Adviser Certified Compliance Professional® Seminar
  • Moderator, “CFTC Adopts Rules Streamlining the Regulations for Commodity Pool Operators and Commodity Trading Advisors,” Washington DC Compliance Roundtable
  • Presenter, “The Proposed Advertising and Solicitation Rules – Game Changers for Advisers,” Celesq® AttorneysEd Center
  • Presenter, “Unpacking the SEC’s Proposed Amendments to the Advertising Rule and Solicitation Rule,” Washington DC Compliance Roundtable
  • Presenter, Chicago Crypto Association and Digital Assets Working Group Meeting
  • Speaker, Chicago Compliance Group Meeting
  • Speaker, 2019 Investment Management Regulatory Update Seminar, Stradley Ronon
  • Speaker, “Regulation BI,” Washington DC Compliance Roundtable
  • Speaker, ”Introduction to Cryptocurrencies & Blockchain,” Cohen Client Conference
  • Panelist, “Private Fund Advertising and Distribution,” National Regulatory Services Fall Compliance Conference
  • Speaker, “Hot Topics – Summer/Fall Edition, Episode #3: Digital Assets,” Financial Poise
  • Moderator, “CFTC Enforcement Update – Developments & Trends,” Washington DC Compliance Roundtable
  • Moderator, Investment Network, Code Is Law – A Practical Primer on Software and Structured Data in Evidence
  • Speaker, Chicago Bar Association Investment Management Subcommittee meeting, Form CRS and Adviser Conduct Standards
  • Panelist, “Form ADV Part 1: Annual Updating Amendment and More,” National Regulatory Service’s Investment Adviser Compliance Symposium
  • Speaker, “CFTC Cryptocurrency Considerations,” Investment Management’s Digital Assets Working Group: Cryptocurrency Legal Roundup - Securities, Derivatives, Enforcement & Litigation Updates
  • Panelist, “Current Issues Impacting Commodity Pool Operators and Commodity Trading Advisors,” Chicago Bar Association’s Futures & Derivatives Law Committee
  • Speaker, Enterprise Blockchain Innovation - Reinventing Business Methodology and Implications for Transforming the Practice of Law, The Masters Conference
  • Presenter, “Mastering Bitcoin, Digital Currency and Blockchain Law,” The Rossdale Group Webinar
  • Moderator, SEC Senior Investors Regulatory Overview, Washington DC Compliance Roundtable
  • Moderator, Roundtable Chat with Andrew Busch: Lessons Learned from Working at the CFTC, Investment Network
  • Guest Lecturer, Chicago-Kent: Cryptocurrencies Derivative Regulation
  • Speaker, Lunch Presentation, Stradley Ronon: Cryptocurrency and Blockchain: Securities Litigation, Regulatory and Enforcement Issues and Implications for the Future
  • Moderator, Investment Network, Artificial Intent: The Question of Intent in the Age of Artificial Intelligence
  • Moderator, Investment Management’s Digital Assets Working Group:  What Capital Funders are Looking for in Tomorrow's Blockchain Revolutions
  • Moderator, Washington DC Compliance Roundtable, FINRA 2019 Regulatory Priorities
  • Speaker, CBA IMG Subcommittee Lunch Presentation: NFA’s Guidance on CPO Internal Controls Systems
  • Moderator, Investment Network: Cybersecurity Compliance Education Session
  • Speaker, Washington DC Compliance Roundtable, SEC OCIE Examination Priorities Webinar
  • Moderator, Washington DC Compliance Roundtable, The FBI’s Role in Cybersecurity
  • Moderator, Investment Network's Digital Assets Working Group, Supporting Integrity in Today's Cryptocurrency Markets
  • Speaker, Stradley Ronon’s Investment Management Regulatory Update Annual Seminar
  • Speaker, Lunch & Learn: What's Happening in the Cryptocurrency and Blockchain Space?
  • Moderator, Investment Network's Digital Assets Working Group Meeting, Blockchain in Real Estate and Lending/Banking
  • Speaker, Rossdale CLE, Mastering Bitcoin, Crypto & Digital Currency
  • Moderator, Investment Network's Digital Assets Working Group, How to Tokenize, Market and List Digital Assets
  • Speaker, Annual NIBA and DePaul University Symposium, Cryptocurrency and Blockchain Panel
  • Speaker, Chicago Bar Association Investment Management Subcommittee Meeting
  • Speaker, IAA/NRS Chicago Investment Adviser Compliance Symposium, Form ADV Part 1: Annual Updating Amendment and More
  • Speaker, Washington DC Compliance Roundtable, Regulatory Compliance Hot Topics
  • Speaker, Investment Network's Digital Assets Working Group, How to Launch an STO and Crypto Enforcement and Compliance Updates
  • Moderator, Washington DC Compliance Roundtable, Cybersecurity
  • Speaker, The Trading Show Chicago 2018
  • Moderator, Investment Network's Digital Assets Working Group, Gemini Exchange and Virtual Commodity Association
  • Presenter, The Knowledge Group, “The Future of CFTC Enforcement and Regulation: What Lies Ahead in 2018” 
  • Speaker, Consumer Cryptocurrency Expo
  • Host, Washington DC Compliance Roundtable, Consolidated Audit Trail (CAT)
  • Moderator, Investment Network's Digital Assets Working Group, Hedge Fund Panel
  • Panelist, The Blockchain Revolution: Commercial, Legal and Academic Perspectives
  • Presenter, Women in FinTech Initiative Conference
  • Moderator, “Hedge/Mutual Fund Perspective,” Cryptocon
  • Presenter, HFA Cryptocurrency & Hedge Funds Seminar
  • Panelist, “Expense & Investment Allocations,” YJP General Counsel & Compliance Conference
  • Moderator, “The Regulators Aren’t the Only Eyes On Your Compliance Program: Successfully Responding to Increased Investor Scrutiny,” 11th Annual Corporate Counsel Hedge Fund General Counsel and Compliance Officer Summit
  • Presenter, “CFTC Developments, Investment Adviser Developments and Private Fund Developments,” Stradley Ronon’s Investment Management Group Regulatory Update
  • Presenter, “Value This! Hot Topics in Valuation for RIAs”
  • Presenter, “Emerging Trends in the Asset Management Industry,” The Chicago Bar Association’s Securities Law Committee
  • Presenter, “Investment Adviser Performance and Advertising,” National Regulatory Service
  • Instructor, “Derivatives Law Course on Course on CTAs, CPOs and Hedge Funds,” The Northwestern Law School
  • Instructor, “Books and Records Requirements for Investment Advisers Presentation,” National Regulatory Service
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Recognition

  • Illinois Super Lawyers, Rising Star – ranked consecutively for five years
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In The Community

Nicole is active in the Chicago community and is a member of The Saints, a not-for-profit organization that supports arts and theater organizations in Chicago and nearby communities through volunteer and charitable services. She is also a Member of the Art Institute of Chicago’s Evening Associates and the International Travel Writers & Photographers Alliance (ITWPA).

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