Kirsten Lapham

Counsel

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Qualifications

  • New York
  • Financial Services Lawyers Association
  • Alternative Investment Management Association

Kirsten Lapham

Counsel

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.

Experience

  • 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

Publications

  • 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)

Disclaimer

Ropes & Gray International LLP is a limited liability partnership registered in Delaware, United States of America and is a recognised body regulated by the Solicitors Regulation Authority (with registered number 52100).