PRACTICE AREAS


Tram N. Nguyen focuses her practice on hedge funds and private equity funds, advising clients on fund-related issues, including fund formation, structuring and compliance. Ms. Nguyen has experience with fund-linked notes and customized, single-investor funds. She also advises U.S. and non-U.S. financial institutions and investment advisers on regulatory requirements, including the Investment Advisers Act and private offering regulations.

Prior to joining Stroock, Ms. Nguyen was the Branch Chief of the Private Funds Branch at the U.S. Securities and Exchange Commission's Division of Investment Management in Washington, DC. In this capacity, Ms. Nguyen worked on developing and implementing SEC rules for private fund advisers, including registration exemptions and reporting requirements on Form ADV and Form PF. She was also involved in other rulemaking projects under the Dodd-Frank Act and the JOBS Act.

Before joining the SEC, Ms. Nguyen practiced with international law firms in Washington, DC and New York City.

HONORS & AWARDS

Ms. Nguyen has been nationally recommended by The Legal 500 United States for her work in the category of Investment Fund Formation and Management: Alternative/Hedge Funds. She was also recognized as "Hedge Fund Compliance Attorney of the Year" by Global Law Experts.

MEMBERSHIPS

  • Member, Subcommittee on Private Investment Entities, American Bar Association
  • Member, Women's Bar Association of the District of Columbia

SPEECHES & EVENTS

  • Panelist, "Regulation & Compliance: Have We Gone Overboard?!" Senior Delegates Roundtable, Miami, FL, February 11-13, 2015
  • Panelist, "Hedge Funds and Other Private Funds," PLI: Understanding Financial Products 2015, New York, NY, January 5-6, 2015
  • Panelist, "Fireside Chat: Risks and Challenges for Hedge Funds from an OCIE Perspective," Corporate Counsel’s Annual Hedge Fund General Counsel Summit, New York, NY, October 1-2, 2014
  • Moderator, "The New Paradigm of Increased Scrutiny: Heightened Attention to Due Diligence and Monitoring," Alternative Investment General Counsel Summit, New York, NY, May 29, 2014
  • Speaker, "Liquid Alternatives Compliance: What You Need to Know," Managed Funds Association: Compliance 2014, New York, NY, May 7, 2014
  • Speaker, "Current U.S. Regulatory Issues," International Bar Association: 15th Annual International Conference on Private Investment Funds, London, U.K., March 9-11, 2014
  • Speaker, GAIM Regulation, New York, NY, February 4, 2014
  • Panelist, "Hedge Funds and Other Private Funds," PLI's Understanding Financial Products 2014, January 21, 2014
  • Speaker, Current Compliance Developments for Advisers, New York, NY, December 9, 2013
  • Panelist, "Hot Regulatory Issues for Private Funds," PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2013, New York, NY November 19, 2013

PUBLICATIONS

  • Co-author, "Volcker Rule FAQ Clarifies SOTUS Exemption for Foreign Banking Entity Investors," Stroock Special Bulletin, March 3, 2015
  • Co-author, "Aligning Employee and Investor Interests under the Volcker Rule," The Hedge Fund Law Report, June 2, 2014
  • Co-author, "U.S. Regulatory Agencies Adopt Final Regulations to Implement the Volcker Rule: Covered Fund Activities and Investments," Derivatives: Financial Products Report, April 2014, Vol. 15, No. 8
  • Co-author, "U.S. Regulatory Agencies Adopt Final Regulations to Implement the Volcker Rule: Covered Fund Activities and Investments," Stroock Special Bulletin, February 28, 2014

ADMITTED TO PRACTICE

District of Columbia, 2006; New York, 1999


EDUCATION

J.D., Columbia University School of Law, 1998

M.A., Harvard University, 1994

B.A., magna cum laude, Princeton University, 1992