Meredith Abrams is a leading regulatory lawyer in the funds industry and has advised on matters involving innovative registered funds products, Advisers Act compliance, broker-dealer regulatory compliance and SEC and FINRA examination and enforcement matters. She advises asset management clients including registered funds and private funds on a broad range of transactional, regulatory and compliance matters. She has significant experience advising on mergers and acquisitions involving broker-dealers and asset managers. She regularly advises broker-dealers on regulatory and compliance matters, initial registrations and expanding their securities business to include investment banking and capital markets activities. She advises private equity firms, real estate fund managers, other private fund managers and broker-dealers on various complex regulatory matters, including compliance with the Advisers Act, Exchange Act, FINRA Rules and other securities laws.
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Work Highlights
- KKR in connection with its acquisition of Janney Montgomery Scott
- Centerbridge in connection with its strategic investment in CRI
- Hamilton Lane in connection with launching its evergreen infrastructure fund
- TIH in connection with the $7.75 billion sale of its McGriff Insurance Services business to an affiliate of Marsh & McLennan
- Vinci Partners in connection with its business combination with Compass Group
- Funds managed by Carlyle in its minority investment in CAPTRUST, at a valuation of over $3.7 billion
- Stone Point Capital in connection with its acquisition of Ascensus
- KKR in connection with its acquisition of Global Atlantic
- Advise broker-dealers on forming, registering and expanding securities business to include, among others, investment banking and capital markets activities
- Advise private equity firms, real estate fund managers and other private fund managers on compliance with the Advisers Act, Exchange Act and other securities laws
- Advise broker-dealers on broad range of Exchange Act and FINRA Rule compliance matters, including, supervision, sales literature, product distribution, reporting, customer protection and trading matters
- Assist with Form ADV, BD, NMA, CMA, Form PF and Section 13F and 13H filings
- Review communications, marketing materials and PPMs for compliance with SEC regulations and FINRA Rules
Accolades
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"Rising Star," With Intelligence Mutual Fund & ETF Awards 2023
Education
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New York Law School, 2012 J.D.
cum laude
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Boston University, 2004 B.A.
A Partner in the Firm’s Registered Funds Practice, Meredith Abrams advises asset management clients, including registered funds and private funds, on a broad range of transactional, regulatory and compliance matters. She has significant experience advising on mergers and acquisitions involving broker-dealers and asset managers and regularly advises broker-dealers on initial registrations and expanding their securities business to include investment banking and capital markets activities. She advises private equity firms, real estate fund managers, other private fund managers and broker-dealers on various complex regulatory matters, including compliance with the Advisers Act, Exchange Act, FINRA Rules and other securities laws.
Prior to joining the Firm, Meredith was a director in the compliance consulting practice at a large financial services consulting firm. She also previously served as the General Counsel/Chief Compliance Officer of an investment manager and executing broker-dealer focused on volatility trading.
Meredith received her J.D., cum laude, from New York Law School in 2012 and her B.A. from Boston University in 2004.