Kirsten Lapham is a counsel in the investment management and financial services regulation team.
Kirsten’s experience includes advising a broad range of both institutional and individual clients on a variety of financial services regulatory and compliance issues. Her practice has a specific emphasis on cross-border regulatory matters and advising on the regulatory issues that impact M&A transactions. She has represented some of the largest and most well-known alternative investment managers, including: TPG; PIMCO; Dragoneer Investment Group; and a number of UK boutiques among many others.
- Lead associate on the UK regulatory matters for C-III Capital Partners LLC in its $207 million acquisition of Resource America, Inc.
- Lead associate on the UK regulatory matters for Dragoneer Investment Group’s 35% acquisition of New Mountain’s stake in AMWINS.
- Regulatory counsel for numerous UK based AIFMs and platforms distributing funds across the EU.
- Assisting a UK based sub-threshold AIFM in its variation of existing permissions to a full scope AIFM.
- Advising several of the largest alternative investment managers on a broad range of AIFMD matters, including remuneration structures, Article 42 registration and regulatory reporting and distribution arrangements.
- Working with a number Asset Managers on projects for MiFID II implementation.
Notable transactions in which Kirsten has been involved prior to joining the firm include:
- Advising a large institutional asset manager on a comprehensive review of its entire suite of compliance/AML policies and procedures
- Advising a broad range of firms with FCA (and PRA) authorisations and approved person applications
- Advising a major US propriety trader on the application of MiFID II and assisting the firm with several projects concerning the firm’s reorganization in Europe
- Advising a variety of firms on queries concerning the application of Consumer Credit Regulations
- Thompson Reuters - Compliance Handbook, Chapter on Financial Promotion, 2016
- “Financial services face FCA scrutiny over risks” FT Adviser (May 20, 2015)
- “What does the FCA’s business plan tell us?” Citywire (April 13, 2015)
- “FCA MiFID II summary” The Hedge Fund Journal (September 2014)
- “Hedge Funds UK” European Law Journal: Thompson Reuters (2014)
- “FCA gets tough on accountability” eFinancialnews (November 4, 2013)
- “FCA departs from EU rules – A sign of a continuing trend?” Global Banking and Finance Review, (September 2013)
- “Publication of warning notices - FSA on FCA's procedure” British American Business Industry insight (Vol. 1 2013)
- “Collective Investment Schemes: The Law and Practice” Sweet and Maxwell, (November 2011)