Katrina is an experienced financial services solicitor specialising in Investment Funds and Asset Management.

Katrina primarily advises asset managers in the structuring, launch and ongoing operation of Irish UCITS and AIF investment funds and the regulation of fund management companies.

She also advises asset managers and other fund service providers generally in relation to relevant legal, regulatory and compliance matters; including the AIFMD and MiFID frameworks and reviews, capital requirements, licensing applications, corporate governance, fitness and probity, conduct of business, anti-money laundering and other ongoing legal, regulatory and compliance matters.

Experience

  • Acted for various asset managers in the establishment of a variety of UCITS and AIF structures investing in traded securities and in other areas, such as real estate funds, money market funds and master feeder structures.
  • Acted for a UK asset manager in the planning and launch of a number of Irish QIAIFs holding UK and Irish commercial properties by way of subsidiaries.
  • Assisted investment firms in relation to their preparations for compliance with the MiFID requirements.
  • Advised financial institutions, including fund administrators, on compliance with their Anti-Money Laundering due diligence requirements.
  • Advised investment brokers and intermediaries on requirements and authorisations under the Investment Intermediaries Act (as amended) and acquiring transaction notifications.
  • Assisted in the restructuring / amalgamation of a number of existing investment funds.
  • Guided clients in respect of insider dealing and market abuse rules under the Market Abuse Directive.
  • Advised on the obligations arising under the Prospectus Directive.

More about Katrina Smyth

Photo for article ESMA Q&As:  Updates on Frequency of Depositary Reconciliations and Marketing Responsibility for AIFs and UCITS

ESMA Q&As:  Updates on Frequency of Depositary Reconciliations and Marketing Responsibility for AIFs and UCITS

On 20 July 2022, the European Securities and Markets Authority (ESMA) updated its Questions and Answers on the “Application of the...

Photo for article “Class 1 Firms” Now Subject to the CRD / CRR Regime in Ireland

“Class 1 Firms” Now Subject to the CRD / CRR Regime in Ireland

Three new sets of Regulations have been published that finalise the implementation of Directive (EU) 2019/2034 (the Investment Firms Directive or...

Photo for article Welcome Updates from the Central Bank to the QIAIF Pre-submission Process

Welcome Updates from the Central Bank to the QIAIF Pre-submission Process

On 1 July 2022, the Central Bank published revised guidance regarding the pre-submission requirements it has in place for certain Qualifying Investor...

Photo for article ESG Funds perform better with lower costs – ESMA asks why?

ESG Funds perform better with lower costs – ESMA asks why?

ESMA Risk Analysis:  The drivers of the costs and performance of ESG funds The European Securities and Markets Authority ...

Photo for article PRIIPs KID for UCITS Retail Investors

PRIIPs KID for UCITS Retail Investors

PRIIPs KID for UCITS Retail Investors looming, but duplication can be avoided. With effect from 1 January 2023, the European Union (Undertakings...

Photo for article ESMA Analyses EMIR Data in Archegos case :  Risks were visible

ESMA Analyses EMIR Data in Archegos case :  Risks were visible

Leverage and derivatives – the case of Archegos ESMA has just published a risk analysis study that seeks to foster...

Photo for article Amendments to List of PCFs

Amendments to List of PCFs

On 10 May, the Central Bank of Ireland (the Central Bank) published a revised timescale and guidance for the re-designation of...

Photo for article Central Bank Announces New PCF-2 Roles

Central Bank Announces New PCF-2 Roles

The Central Bank of Ireland (CBI) updated its list of Pre-Approval Controlled Functions (PCFs) in a  Feedback Statement published...

  • LLB Hons. (Law)
    Manchester Metropolitan University
    1994
  • Postgraduate Diploma in Legal Practice
    The University of Law
    1996
  • Certificate in Mutual Funds
    The Institute of Banking
    2001

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