Lisa Cawley
Professional Profile
Lisa joined Kirkland in October 2008, with a remit to expand the financial services regulatory practice in Kirkland's London office. She has extensive experience in both financial regulation and corporate matters, gained over more than 15 years. Lisa advises on a wide range of regulatory matters, including:
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the establishment of new investment, banking and insurance businesses in the UK, and applications for FSA authorisation;
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the establishment of compliance processes for investment businesses, and ongoing regulatory advice in relation to matters such as conflicts of interest, personal account trading, financial promotions, approved persons and general compliance with the FSA Rules;
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advising on regulatory issues arising in connection with fund structuring, particularly in relation to pan-European and global private equity funds;
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the negotiation of regulatory approval for changes of control in connection with M&A transactions;
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advising on market abuse and insider dealing issues;
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providing advice in relation to the regulation concerning and the marketing of financial products, including securities, insurance products, derivatives and funds;
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advising on the regulatory consequences of rule breaches, and defending clients against enforcement action taken by the FSA.
Lisa has published numerous client briefings on regulatory matters, please click here to view them.
Other Distinctions
Press Coverage
LPs welcome Dodd-Frank but GPs worried, Unquote, September 16, 2011
Dodging Dodd-Frank: a private equity guide, Financial News, February 25, 2011
Firms mobilise for directive's second leg, Private Equity News, November 1, 2010
Haggling over the legislation is far from over, Financial Times, May 18, 2010
Secondary Crucial AIFM Vote Delayed, Private Equity Manager, May 10, 2010
Hedge fund directive strikes blow at City, The Times, May 10, 2010
Britain Sidelined over E.U. hedge fund talks, The Sunday Telegraph, May 9, 2010
Fund-Rules Debate Rages as E.U. Nears Decision, The New York Times, May 10, 2010
"Glimmer of hope for UK despite AIFM Directive approval," International Financing Review, May 24, 2010
"Buyout industry urged to move on AIFM," Financial News, May 24, 2010
"Regulation and tax plans put a squeeze on industry," Private Equity News, May 24, 2010
Hedge fun directive strikes blow at City, USA Today, May 9, 2010
Vote nears on European fund regulation, The Deal, May 7, 2010
Hedgies fear E.U. assault in election gap, City A.M., May 10, 2010
HFMWeek Daily Snapshot, HFMWeek, May 10, 2010
Monday Watch, Between the Hedges, May 10, 2010
Press Digest - British Business - May 10, Reuters, May 10, 2010
Daily News Update, May 9, 2010
E.U. Alternative Fund Regulations on Hold, The Deal, March 16, 2010
Fundraising Could Get Harder in Europe, Buyouts, March 15, 2010
Latest AIFM Directive Draft set to Offer Hope to Hedge Funds, International Financing Review, March 13, 2010
FSA drops charges against Kirkland client Semperian, The Lawyer, February 19, 2010
Publications
Author, "2010: Year of the regulator", PLC, April 2010 (with Stephanie Biggs and Mark Mifsud)
Prior Experience
Slaughter and May, London, U.K.
Solicitor (1993-2008)
Trainee Solicitor (1991-1993)
