- E: firstname.lastname@example.org
- Direct: (646) 853-3269
- Mobile: (917) 833-3698
- New York Office
- Financial Services & Lending
- FinTech and Blockchain
- Securities & Private Equity
- New York
- Harvard Law School, J.D., 2003
- Princeton University, B.A., 2000
Large Law Firm Experience:
- Sidley Austin, LLP
- Protégé Partners, General Counsel & Chief Compliance Officer
- TIAA-CREF, Counsel
- Deutsche Bank, Counsel
Ms. Ashby concentrates her practice on domestic and international private investment funds. She represents fund managers in the formation of private funds, including hedge funds, funds of funds, ERISA funds, private equity funds and AIFMD-compliant vehicles. She also focuses on matters arising at established funds, such as negotiating trading agreements, negotiating side letters, conducting due diligence on investments and on regulatory filings. In addition, she represents investors investing in private funds. Ms. Ashby also has extensive experience in the structuring and negotiation of seeding and acceleration capital arrangements.
A former Chief Compliance Officer to a registered investment adviser, Ms. Ashby provides guidance on all compliance matters arising under the Investment Advisers Act and other domestic and international regulations affecting RIAs. She counsels clients on a broad array of issues including conflicts of interest, marketing, insider trading, AML compliance, trade allocation, trade errors, expense allocation, valuation, the pay-to-play rules, cybersecurity and Form ADV. She also conducts Rule 206(4)-7-compliant reviews and creates customized compliance manuals.
Prior to joining FisherBroyles, LLP, Ms. Ashby was General Counsel and Chief Compliance Officer at Protégé Partners, an emerging manager focused fund of funds operator and one of the most well-known hedge fund seed investors. Prior to that she spent several years as legal counsel in the investment management groups at TIAA-CREF and Deutsche Bank, as well as in the investment management group of large international law firm Sidley Austin, LLP.
Ms. Ashby earned her J.D. from Harvard Law School and a B.A. from Princeton University.