Steve Penner Email & Phone Number

New York, New York, Us

Provide strategic, regulatory and structural advice to a hedge fund manager with approximately $7.8bn in AUM, specializing in distressed securities and global emerging markets. Manage and implement the strategic vision for a team of five legal and compliance professionals, develop policies related to investment advisory, trade compliance, AML/CFT and other regulatory obligations, negotiate agreements and oversee litigation related to general corporate, transactional and employment matters, collaborate with departments across the firm to mitigate regulatory risk.

New York, New York, Us

New York, New York, Us

An intimate oasis that connects visitors to an inclusive world community, through tranquil Japanese style gardens and innovative arts and education programs.

Hamilton, Bermuda, Bm

Assisted the Catlin Group, a global insurer/reinsurer, in launching an in-house institutional investment management framework. Originally a $9bn portfolio allocated across fixed income securities, equities and alternative investments (including hedge funds, private equity, distressed debt and derivatives), it expanded to $42bn after the acquisition of Catlin by XL Group in 2015.Responsible for: negotiating trading agreements, direct private equity investments, addressing investment advisory, insurance regulatory and compliance issues across multiple jurisdictions, coordinating mergers and acquisitions activities and providing guidance to executive committees.

New York, Ny, Us

Responsible for legal, transactional and regulatory matters for a number of business units within the Institutional Securities Group, including: Prime Brokerage, Hedge Fund Administration (Morgan Stanley Fund Services), Custody (Morgan Stanley Trust, N.A.), Securities Lending, and Broker-Dealer Clearing, and addressing the trading, financing, marketing and regulatory compliance needs of hedge fund and institutional investor clients.

Global, Gb

Advised hedge funds, private equity funds, financial institutions and institutional investors on legal, transactional and regulatory matters related to: derivatives, structured finance, alternative investments, investment advisory activity, mergers/acquisitions and bankruptcy related litigation in the wake of the 2008 global financial crisis.

Charlotte, Nc, Us

Secondment from Shearman & Sterling to the Global Corporate & Investment Banking legal department. Provided advice related to structuring and documenting derivative and repo transactions,and margin financing.

Us

Secondment from Shearman & Sterling. Provided advice related to investment advisory activity, fund formation and structuring, fund offerings, distribution and marketing, investor relations, derivatives and alternative investments, private equity transactions, regulatory compliance and internal fund operations.

New York, Ny, Us

Secondment from Shearman & Sterling. Provided legal research, analysis and drafted appellate briefs supporting the conviction of former Rwandan government ministers for crimes against humanity.

Global, Gb

Capital Markets (Asia) in Tokyo and the Securitization and Derivatives in New York

Global Securities Finance, Global Custody Review and Capital Markets magazines

Jp

Komoro Shougyou Koko Commercial High School

Ca

1998 Nagano Winter Olympics.

Juris Doctor, Law

B.A. (Honours), Economics And Political Science

High School