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Meredith J. Abrams
 

Meredith J. Abrams

Counsel
 
425 Lexington Avenue
New York, NY 10017 
 
Email:
Fax: +1-212-455-2502

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.

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Work Highlights
  • KKR in connection with acquisition of Global Atlantic
  • Stone Point Capital in connection with its acquisition of Ascensus
  • Oaktree Capital Group in connection with its sale of an interest in Oaktree to Brookfield Asset Management
  • 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
Education
  • New York Law School, 2012 J.D.
    Cum Laude
  • Boston University, 2004 B.A.
Admissions
  • New York 2015

Based in the Firm’s New York office, Counsel 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.

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