简介

Emma Rodriguez-Ayala is an investment management attorney, with a business-minded and solutions-oriented approach to counseling clients. Emma leverages both in-house and private practice perspectives to advise investment advisers and fund investors throughout the U.S. on legal, regulatory, compliance and corporate matters. She has experience working on sophisticated international investment management matters.

Investment Adviser and Fund Structuring, Transactions & Review

Emma is skilled in complex alternative investment structuring, including structuring direct-trading funds, funds-of-funds, customized/single-investor funds and managed accounts. She coordinates investments and sale offerings for private funds, developing offering terms that are market appropriate and achieve desired investment results.

Emma drafts and negotiates customized terms for institutional investors’ investments in private funds and assists with legal and compliance due diligence on private funds and investment advisers, including reviews of all legal and compliance documents, policies and procedures.

Compliance Services

Emma helps investment advisers develop, implement and test compliance programs that are business-focused and comply with regulations, including:

  • Conducting compliance and operational risk assessments
  • Testing of policies and procedures and upgrading them as necessary
  • Advising on marketing practices, including reviews of marketing materials, requests for proposal and investor communications
  • Responding to regulatory and investor audits
  • Training personnel

Regulatory Reporting

Emma assists clients with investment adviser and investment fund regulatory reporting requirements in the U.S. and internationally, including those reportable to the SEC, CFTC, Treasury Department, Department of Labor, Bureau of Economic Analysis, the Cayman Islands regulatory authorities and the European Securities Market Authority.

Financial Regulatory Advocacy

Emma engages in regulatory advocacy for the private funds industry, including presenting to the CFTC staff on risk management practices by commodity pool operators and working with other market participants to successfully advocate before the SEC, the CFTC, FINRA, NFA and ESMA.

In-House Background

Emma spent over seven years in-house at Mesirow Advanced Strategies, Inc. (MAS), a U.S. registered investment adviser, commodity pool operator and commodity trading adviser offering hedge funds worldwide. As the General Counsel, she was responsible for all legal, regulatory and compliance affairs of MAS, including operational and compliance risk management. Emma was a Senior Managing Director, member of MAS’ Executive and Operating Committees, and served on the boards of directors of over a dozen of MAS’ investment funds for U.S. and non-U.S. institutional investors.

Personal Interests

Emma’s ambitious bucket list includes competing in a professionally timed race in every U.S. state (with the motto of “just finish alive”) and hiking all U.S. national parks. She is making solid progress – she has already competed in the Chicago Marathon and over 10 half-marathons and has hiked in one-third of the national parks (and has the spider bites to prove it).

资质

执业资格

Illinois

语言

Spanish

教育

University of Chicago Law School
J.D. (2006)

Saint Louis University
B.S. International Business, summa cum laude, Alpha Sigma Nu, Beta Gamma Sigma (2003)

The Opportunity Zones Program
The Opportunity Zones Program
Here's What You Should Be Asking

见解和活动

其他角度
  • Private Fund Regulatory Developments and Compliance Challenges
    Faculty, Practising Law Institute, 2015-present
  • Disruption, Adaptation and Legacy Building – Career Paths in Flux
    Association of Latino Professionals for America Annual Convention, 2018
  • Building Your House on the Rock: Client Relationships and Networking
    PracticePro Career Conference, 2018 
  • Engaging the Next Generation of Board Leadership
    Grant Thornton Not-for-Profit Board Governance Seminar, 2018
  • Elevating Your Career: Becoming the Obvious Next Choice
    Association of Latino Professionals Midwest Executive Summit, 2017
  • Managing Investor Expectations and Pursuing Capital Raising Opportunities
    HFM Operational Leaders Summit, 2016
  • Women as Leaders
    University of Chicago Law Women’s Leadership Summit, 2016
  • Navigating Regulatory Complexity
    AIMA Global Policy and Regulatory Forum, 2015
  • Becoming a Better Student and Lawyer: Moving Beyond Technical Skills
    University of Chicago Law School Student Orientation, 2015
  • Trends in Fund Governance and Investor Scrutiny
    UBS COO/CFO Conference, 2013
  • Information Overload: How to Cope with an Increased Reporting Burden
    HFM Fund of Hedge Funds Leaders Summit, 2013
  • Rising to the Challenges of Transatlantic Oversight
    Absolute Return Spring Symposium, 2013
  • Hedge Funds: The Impact of a Changing Regulatory Landscape
    University of Chicago Booth School of Business Forum, 2013
  • Reforming Alternative Fund Governance to Benefit Investors
    IFI Global’s Fourth Global Fund Domiciles Seminar, 2013

领导力和社区

市民活动

  • Association of Latino Professionals for America, Inc. – President, Chicago Chapter
  • iMentor – Chicago Advisory Board
  • University of Chicago Law School Doctoroff Business Leadership Program – Mentor

荣誉

  • National Diversity Council — Top Latino Leaders, 2018
  • Chicago Negocios Now — Who’s Who in Chicago Hispanic Power, 2018
  • Chicago United — Business Leaders of Color, 2017 (Business Leaders of Color are individuals who have combined vision with the ability to execute on strategies. They have led large-scale operations domestically and internationally with a focus on innovation and a keen ability to drive transformational change in their organizations.)
  • Mesirow Financial – Norman Award for Superior Support Service, 2015
Faegre Baker Daniels 网站使用 Cookie 来提升您的浏览体验。