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. Nicole is a Founder of the Investment Network and the Digital Assets Working Group. Nicole was selected as a Super Lawyers Rising Star in 2016, 2017 and 2018.

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Representative Matters

  • Beijing Phoenix JinXin Investment Management, an SEC-registered investment adviser, assist with registration and preparation of related compliance materials, agreements and disclosures. JinXin offers separately managed account services and robo-adviser trading capabilities
  • Kippington Capital Management, LLC, an exempt reporting adviser with the SEC, assist with the registration and launch of its new long-equity hedge fund, Kippington Capital Fund, LP, as well as preparation of compliance materials and review of marketing materials
  • Represent Canadian investment adviser in registering as an investment adviser with the SEC, and revise Canadian compliance materials to comply with U.S. laws and regulations
  • Assist with investment adviser registration of a billion-dollar private fund real estate/hospitality investment complex with the SEC, organizational restructuring of the managers, preparation of compliance materials and revising relevant fund offering materials

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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

  • Chicago Bar Association: Futures & Derivatives Law Committee, Financial & Investment Services and Securities Law Committee
  • Director, Washington DC Compliance Roundtable, Chicago Region
  • 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, Investment Network
  • Founder, Digital Assets Working Group

Publications

Speaking Engagements

  • Speaker, The Trading Show Chicago 2018
  • Moderator, Digital Assets Working Group
  • Presenter, “The Future of CFTC Enforcement and Regulation: What Lies Ahead in 2018,” The Knowledge Group
  • Speaker, Consumer Cryptocurrency Expo
  • Host, Compliance Round Table Webcast
  • Moderator, 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 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 – 2016, 2017 and 2018
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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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