Nicole M. Kalajian

Counsel

nkalajian@stradley.com

vCard
Nicole Kuchera

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, venture capital funds, real estate funds, fund of funds, cryptocurrency funds and socially responsible investment (SRI) vehicles. Nicole provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators (CPOs), commodity trading advisers (CTAs), introducing brokers (IBs), forex (FX) firms, proprietary trading firms and broker-dealers (BDs). She also serves as counsel to boards, mutual funds and exchange-traded funds (ETFs). Nicole drafts and develops offering documents, compliance manuals, policies and procedures, corporate materials, contracts/investment agreements and advertising materials. She also provides legal and structuring guidance concerning master-feeder structures, domestic and foreign funds, international offerings and separately managed accounts.  

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Representative Matters

  • Beijing Phoenix JinXin Investment Management, as an SEC-registered investment adviser, with the registration and preparation of related compliance materials. JinXin will initially be offering separately managed account services and robo-adviser trading capabilities
  • Kippington Capital Management, LLC, an exempt reporting adviser with the SEC, in connection with the registration and launch of its new long-equity hedge fund, Kippington Capital Fund, LP
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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
  • J.D., Chicago-Kent School of Law
  • LL.M., Chicago-Kent School of Law
  • B.S., DePaul University
Memberships

  • 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
  • Founder, Unofficial Financial Services Network

Publications

  • CFTC and SEC Registration Considerations for Private Fund Managers
    NIBA Journal
    September 20, 2016
    Publications

  • NFA ByLaw 1101: Application of NFA ByLaw 1101 in Various Common Scenarios
    NIBA Journal
    July 30, 2015
    Publications

  • CFTC/NFA/CME Regulatory Updates
    NIBA Journal
    March 20, 2015
    Publications

  • Annual Compliance Obligation Reminders
    VP Newsletter
    February 23, 2015
    Publications

  • Housekeeping, Reminders and Updates
    VP Client Alert
    October 23, 2014
    Publications

  • CFTC, NFA and CME Regulatory Updates
    VP Thought Leadership
    September 24, 2014
    Publications

  • CFTC and NFA Regulatory Updates
    VP Client Alert
    June 13, 2014
    Publications

  • Housekeeping Compliance Updates: CFTC/NFA/SEC/FINRA/International
    NIBA Journal
    May 13, 2014
    Publications

Speaking Engagements

  • 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 CLE Seminar
  • Presenter, “Value This! Hot Topics in Valuation for RIAs,” Webinar
  • 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
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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.
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