Steve Penner

About Steve Penner

Specialties: Asset Management, Investment Advisory Regulation and Compliance, Alternative Investments, Hedge Funds, Private Equity, Derivatives, Structured Finance, Prime Brokerage, Insurance Regulatory, Securities, Fixed Income, Equities, Private Placements, Securities Lending, Repo, Options, Clearing, Emerging Markets.

Experience

1. General Counsel

   Vr Capital Group

   Apr 2022 — Present · New York, NY, US

   Provide strategic, regulatory and structural advice to a hedge fund manager with approximately $9bn 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.

Education

• Western University

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

  1992 — 1997

• University of Toronto

  Juris Doctor, Law

  2002 — 2005

• Walter Murray Collegiate Institute

  High School

  1990 — 1992

Skills

• Capital Markets
• Structured Products
• Asset Management
• Fixed Income
• Asset Managment
• Financial Structuring
• Equities
• Hedge Funds
• Legal
• Derivatives
• Insurance Regulatory
• Investment Advisor Compliance
• Structured Finance
• Distressed Debt
• Risk Management
• Investment Banking
• Alternative Investments
• Private Equity
• Prime Brokerage
• Trade Compliance
• Investment Advisory
• Investments
• Finance
• Securities Regulation
• Securities
• Mergers & Acquisitions