Katrina Smyth

Senior Associate | Financial Services at LK Shields
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Contact Information
us****@****om
(386) 825-5501
Location
County Dublin, Ireland, IE

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Credentials

  • Certificate in Mutual Fund Services
    The Institute of Banking
    Jan, 2001
    - Sep, 2024
  • Admission to be a Solicitor of the Courts
    Law Society of Ireland
    Dec, 2000
    - Sep, 2024
  • Admission as Solicitor of the Supreme Court
    The Law Society
    May, 1999
    - Sep, 2024
  • Member of The Law Society
    The Law Society of England & Wales
    May, 1999
    - Sep, 2024
  • The Professional Skills Course
    The University of Law
    Feb, 1999
    - Sep, 2024
  • Postgraduate Diploma in Legal Practice
    The University of Law
    Aug, 1996
    - Sep, 2024
  • Bachelor of Laws LLB Hons
    The Manchester Metropolitan University
    Jul, 1994
    - Sep, 2024
  • Certificate of Completion of the Academic Stage
    The Law Society of England & Wales
    Jul, 1994
    - Sep, 2024

Experience

  • LK Shields
    • Ireland
    • Law Practice
    • 100 - 200 Employee
    • Senior Associate | Financial Services
      • Feb 2021 - Present

      Running projects, on behalf of fund promoters and investment managers, for the launch and ongoing operation of collective investment funds, including QIAIF ILPs and UCITS ICAVs (e.g. Article 8 funds). Preparing and negotiating all material documentation; liaising with the Central Bank and all relevant parties. Assisting with ongoing queries and requirements. Consideration of SFDR and Taxonomy Regulation disclosure requirements, and status of technical screening data.Assisting with applications for authorisation of investment firms and intermediaries by the CBI under relevant Irish legislation.Advising MiFID firms in relation to their EU and Irish regulatory obligations. Consideration of ongoing MiFID II updates, consultation processes and supervisory actions.Transitioning SMICs to third party external management, in adherence with the Central Bank’s fund management expectations.Handling acquiring transaction / change of control notifications to the Central Bank for investment firms and intermediaries, and ensuring smooth progression.Advising firms and funds on their passporting applications under EU regulation.Assisting in relation to PCF matters. Advising in relation to post-Brexit matters, such as compliance with insurance regulation.Working with payment institutions.Analysis of the EU Crowdfunding Regulation.Submissions to regulator on points of law.

  • Davy
    • United States
    • Motor Vehicle Manufacturing
    • Solicitor
      • May 2021 - Feb 2022

      Secondment with the Compliance department included analysis of IORPS II; MiFID II requirements on costs and charges, inducements, suitability and product governance; post-Brexit UK business within FSMA; IDR and CPC requirements. Impact analyses, gap analyses, decision trees, presentations, recording in-house inducements training, reviews of client documentation and terms and conditions, general regulatory queries. Secondment with the Compliance department included analysis of IORPS II; MiFID II requirements on costs and charges, inducements, suitability and product governance; post-Brexit UK business within FSMA; IDR and CPC requirements. Impact analyses, gap analyses, decision trees, presentations, recording in-house inducements training, reviews of client documentation and terms and conditions, general regulatory queries.

  • Career Break
    • Advertising Services
    • 1 - 100 Employee
    • Career Break
      • Jun 2008 - Jan 2021

      Kept abreast of developments in the fields of investment funds, asset management and financial services regulation and conducted a comprehensive review of the applicable legal and regulatory framework, as well as attending relevant webinars, reading numerous legal articles and liaising with colleagues within the industry. Areas of interest included the AIFMD, UCITS & MiFID frameworks and reviews, MMFs, ETFs, private equity, ESG: SFDR and the Taxonomy Regulation, ILP (Amendment) Act 2020, Corporate Governance, Conduct of Business, Fitness & Probity Regime and ‘Dear CEO’ letter, Fund Management Companies and the CP86 Review Findings, SEAR, AML / CFT, CAR, SRD2, MAR, EMIR, Benchmark Regulation, PSD2, Prospectus Regulation, CSDR, MiCA Regime, DORA, Brexit implications for the asset management industry.

    • Senior Associate | Financial Services
      • Jan 2002 - May 2008

      In my role as an Associate Solicitor within the Financial Services Group, I provided advice in respect of Investment Funds, Asset Management and Financial Services Regulation. My achievements included:-Advising and assisting blue chip financial institutions in the structuring, launch and ongoing operation of investment funds, investment services and all applicable legal, regulatory and compliance matters. Specialising in running projects to establish and launch UCITS and non-UCITS (now AIFs), including property funds, money market funds and master feeder structures, and the amalgamation of existing investment funds. Applying invaluable expertise in the Irish rules, regulations and guidelines (including Central Bank of Ireland, Irish Stock Exchange and ESMA) relating to Irish investment funds and their service providers, and to investment businesses generally. Co-ordinating and attending board meetings.Advising investment managers, custodians and fund administrators and other investment firms.Responsibility for various projects including the launch by a UK asset manager of their first Irish QIF (now QIAIF) investing in UK and Irish commercial property, a large project which became a model for the launch of other property QIFs assisted by LKS.Advising and assisting investment firms in relation to their preparations for compliance with MiFID requirements.Advising investment business firms authorised under the IIA 1995, including in respect of acquiring transaction notifications.Guiding clients in relation to insider dealing and market abuse rules under the Market Abuse Directive. Informing clients in relation to their obligations under the Prospectus Directive.Instructing financial institutions in respect of their compliance with Irish Anti-Money Laundering requirements.Assisting in prime brokerage matters and other general company and commercial law.Mentoring trainee solicitors in all aspects of the projects undertaken within the group.

  • Citi
    • Mexico
    • IT Services and IT Consulting
    • 100 - 200 Employee
    • Legal Specialist | Non-Practising Solicitor
      • Oct 2000 - Dec 2001

      Legal, compliance and business acceptance | dual reporting to both Legal and Funds AdministrationPreparing the legal documentation, and leading the project, to move the funds administration company (‘CISIL’) into its new corporate structure.Reviewing / redrafting the fund accounting and TA aspects of the Services Requirements Documents, received from the Implementation Team, for prospective clients. Participating in the Implementation Plan to facilitate cash injections or in specie transfers. Reviewing / commenting on all fund documentation for CISIL at take-on of new business. Drafting and updating Operating Memoranda for all funds. Attending implementation meetings with new clients. Maintaining a Bible of Documentation for each fund.Co-ordinating fund launches with the CBI and ensuring adequate CISIL staffing and procedures.Devising detailed, formal internal AML procedures for Citibank. Procuring receipt of BIR documents, AML assurance letters and annual AML certificates, and maintaining AML files, in respect of each fund under administration. Maintenance of an AML database and periodic sample checking. Review of application forms.Instructing TA and teams on operational issues arising from the fund documentation and legislation. Identifying / seeking to ensure compliance with applicable corporate policies and investment restrictions and that investment breaches were rectified in a timely manner and in the best interests of investors.Maintaining the Price Error, Complaints and Gift Report Registers and ensuring compliance with the applicable standard procedures. Attending periodic meetings with the CBI and preparing minutes.Providing assistance to the Company Secretary on behalf of CISIL. Assisting in the organisation and minuting of Board Meetings for CISIL on a quarterly basis. Assisting in presentations to prospective clients. Periodically monitoring the regulated teams’ completion of the monthly CBI returns.Liaising with the Trustee.

  • Clayton Utz
    • Australia
    • Law Practice
    • 700 & Above Employee
    • Non-Practising Solicitor | Mergers & Acquisitions | Trusts & Leases | Travel
      • Apr 1999 - Sep 2000

      Due diligence / other legal work including Corporations Law research, Securities Commission filings and IP matters in the Mergers & Acquisitions department of leading Sydney law firm, Clayton Utz, on a full-time basis.Also reviewing trust deeds and leases for Malleson Stephens Jacques on a contractual basis. Due diligence / other legal work including Corporations Law research, Securities Commission filings and IP matters in the Mergers & Acquisitions department of leading Sydney law firm, Clayton Utz, on a full-time basis.Also reviewing trust deeds and leases for Malleson Stephens Jacques on a contractual basis.

  • Owen White & Catlin LLP Solicitors
    • United Kingdom
    • Law Practice
    • 1 - 100 Employee
    • Trainee Solicitor
      • Sep 1997 - Mar 1999

      Busy caseload of personal injury litigation, commercial litigation, contract & company law, criminal, conveyancing and probate. With prior law firm work experience being taken into account, I completed my training contract in March 1999 and was admitted as a solicitor in England & Wales in May 1999. At this point, I made a move into corporate legal work. Busy caseload of personal injury litigation, commercial litigation, contract & company law, criminal, conveyancing and probate. With prior law firm work experience being taken into account, I completed my training contract in March 1999 and was admitted as a solicitor in England & Wales in May 1999. At this point, I made a move into corporate legal work.

  • Kingsley Napley
    • United Kingdom
    • Law Practice
    • 100 - 200 Employee
    • Paralegal
      • Jan 1997 - Aug 1997

      Paralegal work undertaken whilst waiting for my training contract to commence, including discovery, court bundles, documentation review, drafting and court attendance in a fast-paced medical negligence department. Paralegal work undertaken whilst waiting for my training contract to commence, including discovery, court bundles, documentation review, drafting and court attendance in a fast-paced medical negligence department.

  • The Lord Chancellor's Department
    • Legal Services Development | Paralegal
      • Sep 1996 - Dec 1996

      Following completion of the LPC, while waiting for my training contract to commence, I undertook paralegal work with the The Lord Chancellor’s Dept, where I gained an interesting insight into the civil service and experience in drafting briefings, speeches, ministerial correspondence and answers to parliamentary questions for the Lord Chancellor and ministers (all relating to the legal profession). Following completion of the LPC, while waiting for my training contract to commence, I undertook paralegal work with the The Lord Chancellor’s Dept, where I gained an interesting insight into the civil service and experience in drafting briefings, speeches, ministerial correspondence and answers to parliamentary questions for the Lord Chancellor and ministers (all relating to the legal profession).

  • Vincent P. Fitzpatrick & Co.
    • Paralegal & Apprentice
      • Sep 1994 - Aug 1995

      VPF & Co. (now BLM Law). While considering my career options, a year of hands-on work experience between the end of the LLB and commencement of the LPC, which later counted towards my training contract. Caseload of personal injury, criminal injury / damage, debt, divorce and insurance litigation cases. I then returned to England to take the LPC. VPF & Co. (now BLM Law). While considering my career options, a year of hands-on work experience between the end of the LLB and commencement of the LPC, which later counted towards my training contract. Caseload of personal injury, criminal injury / damage, debt, divorce and insurance litigation cases. I then returned to England to take the LPC.

  • James F. Fitzpatrick Solicitors
    • Intern | Summer Work Experience
      • Jul 1993 - Aug 1993

      Summer internship during my degree with a busy general practice, working mostly on criminal matters and legal aid work; including solicitor attendance at court, police stations and prisons. Summer internship during my degree with a busy general practice, working mostly on criminal matters and legal aid work; including solicitor attendance at court, police stations and prisons.

  • TREVOR SMYTH & COMPANY
    • United Kingdom
    • Intern | School Work Experience
      • Jun 1990 - Jun 1990

      Legal internship undertaken whilst at school. I gained an insight primarily into criminal litigation and legal aid matters, including client interviews and court, prison and police station attendance and a week spent following a murder trial in the Royal Courts of Justice. Legal internship undertaken whilst at school. I gained an insight primarily into criminal litigation and legal aid matters, including client interviews and court, prison and police station attendance and a week spent following a murder trial in the Royal Courts of Justice.

Education

  • The Institute of Banking
    Certificate in Mutual Funds
    2000 - 2001
  • The University of Law
    The Professional Skills Course
    1999 - 1999
  • The University of Law
    Postgraduate Diploma in Legal Practice, Commendation
    1995 - 1996
  • The Manchester Metropolitan University
    Bachelor of Laws - LLB Hons.
    1991 - 1994
  • Strathearn School, Belfast
    1984 - 1991

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