Lisa Cawley - Partner


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Lisa Cawley

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Phone: +44 20 7469 2140
Fax: +44 20 7469 2001
Overview News Events Publications

Professional Profile

Lisa Cawley has extensive experience in financial services regulation, gained over more than 20 years. Recognised in Chambers and The Legal 500, where she is described as having an “excellent understanding of the UK regulatory regime”, Lisa speaks, comments and writes regularly on regulatory matters and is an acknowledged authority in her field. Lisa advises on a wide range of regulatory matters, including:

  • the £900m acquisition of UK insurance premium finance provider Premium Credit by U.S. private equity firm GTCR;

  • acting for significant clients and creditors following the special administration of MF Global UK Limited;

  • the establishment of new investment, banking and insurance businesses in the UK, and applications for FCA authorisation;

  • 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, client money and custody issues and general compliance with the FCA Rules;

  • advising on regulatory issues arising in connection with fund structuring, particularly in relation to pan-European and global private equity funds;

  • the negotiation of regulatory approval for changes of control in connection with M&A transactions;

  • advising on market abuse and insider dealing issues;

  • providing advice in relation to the regulation concerning and the marketing of financial products, including securities, insurance products, derivatives and funds;

  • advising on the regulatory consequences of rule breaches, and defending clients against enforcement action;

  • advising on the EU Alternative Investment Fund Managers Directive, the U.S. Private Fund Investment Advisers Registration Act and the Bribery Act 2010.

Lisa has published numerous client briefings on regulatory matters, please click here to view them.

Memberships & Affiliations

Member of the Financial Conduct Authority’s AIFMD Group of Legal Experts

Member of the EVCA Public Affairs Executive Technical Group on the Alternative Investment Fund Managers Directive

Founder of the Transatlantic Regulatory Lawyers Group

Other Distinctions

Recognised in The Legal 500, Chambers and the International Financial Law Review

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

Hedge fund 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.G. 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


Co-author, “AIFMD Essentials”, European Venture Capital Association, July 2013

“Non-US firms can afford to relax over Dodd-Frank” (Guest Comment), Private Equity News, July 11, 2011

Co-author, “Small change: whether the proposed shake-up of financial regulation in the UK is really as dramatic as it seems” The Lawyer, 9 May 2011

Co-author, “Bribery Act Briefing” BVCA Member Briefing, May 2011

“US steals a regulatory march on European Union” (Guest Comment), Private Equity News, August 23, 2010 (with Stephanie Biggs)

Author, “Legal uncertainty: the criminal liability of partnerships for bribery under the Bribery Act 2010,” Butterworths Journal of International Banking and Financial Law, March 2012 (with Chris Colbridge)

Author, “European venture capital funds: a new brand?,” Financier Worldwide, 2012 (with Stephanie Biggs)

Author, “2010: Year of the regulator,” PLC, April 2010 (with Stephanie Biggs and Mark Mifsud)


15th Annual International Conference on Private Investment Funds, 9-11 March 2014

Business Life Funds Forum, Guernsey, June 5, 2014

Financial Services Forum for Legal and Compliance Professionals, 1 April 2014

8th Annual Real Estate Private Equity Symposium, October 15, 2013 (New York)

7th Annual Practitioner's Forum on Private Equity Regulation, Tax and Accounting, April 30th 2013

CI Funds Forum 2012, Guernsey, July 4, 2012

6th Annual Practitioner's Forum on Private Equity Regulation, Tax and Accounting, 26 June 2012

EVCA CFO-COO Summit, Paris, 8-9 May 2012

EVCA CFO-COO Summit, Barcelona, 16-17 June 2011

Informa Conferences: Managing the Consequences of the AIFM Directive, London, November 30, 2010

4th Annual Practitioner's Forum on Private Equity Regulation, Tax and Accounting, May 25, 2010

Prior Experience

Slaughter and May, London, U.K.
Solicitor (1993-2008)
Trainee Solicitor (1991-1993)

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