Ksenia Portnoy
About Ksenia Portnoy
I have over 18 years of experience in investment management and capital markets regulations. Throughout my investment management legal and compliance career I gained extensive experience and knowledge of formation and ongoing operation of a various public and private funds (hedge, private equity, hybrid) in the U.S. and oversees, including drafting, reviewing and negotiating funds’ governing and offering documents, advisory agreements, side letters, placement agreements, agreements with funds’ and the advisory firm’s service providers and general corporate contracts. I negotiated advisory contracts with various state plans, banks, ERISA pension funds, endowments, insurance companies and sovereign trusts. I managed all aspects of regulatory, strategic development and HR matters from the legal and compliance prospective, including matters related to the Investment Advisers Act, the Investment Company Act, bank regulations, the Securities Act, the Securities Exchange Act, FINRA regulations, FATCA and various privacy regulations as well UCITS regulations, MiFID and AIFMD. As a CCO, I was responsible for developing and maintaining a robust compliance program that fits and evolves around the business, including drafting, implementing and testing policies and procedures, conducting compliance surveillance and testing and providing compliance training. I was also responsible for preparing the firm for a regulatory audit and managing relationships with regulatory authorities, conducting Rule 206(4)-7 compliance reviews, drafting and updating numerous regulatory filings, including Forms ADV and PF. When I served as the CCO, my firm was audited by a regulator and received a “thank you” letter as there were no findings. In the past I participated in the regulatory audits by various regulators, including the FINRA, the SEC and the NFA, and responded to the CFTC’s and state regulators’ inquiries. I am a recipient of Award in Recognition of Excellent Achievement from Mizuho Bank (2017) and Award for Excellence from Mizuho Bank for support of new business initiatives (2016). I am a graduate of the University of Pennsylvania Law School and Wharton School.