Simon Firth principally advises investment managers and sponsors on the establishment, promotion, regulation, and operation of investment funds including hedge, private equity, UCITS, and real estate funds. He also advises on managed account arrangements. His clients also include family offices, wealth managers and fund distributors.
Mr. Firth's related transactional work comprises fund seeding and restructuring, and acquisitions and disposals of investment firms. His work frequently involves establishing and structuring investment management and other financial services businesses, and drafting their shareholders' or members' agreements. Mr. Firth also regularly advises clients on regulatory matters, including the AIFMD, MiFID, FCA authorisation, financial promotion, conduct of business rules, and customer documentation. This advice often involves analysis of applicable UK and EU regulations and equivalent SEC provisions. Mr. Firth is a regular speaker on investment management and regulatory matters, and frequently contributes articles on industry matters.
- MacKay Shields LLC, a fixed-income manager with more than $97 billion under management, on a range of UK- and EU-related issues including the formation of Plainview Funds plc, a new Irish-qualifying investor fund, and of MacKay Shields UK LLP on its FCA variation of permission application to be an AIFM.
- IPM Informed Portfolio Management AB, a Swedish systematic investment manager, acting as UK counsel for IPM Systematic Macro Fund and IPM Systematic Currency Fund and their respective master funds.
- Highgate Capital Management LLP on the launch of Highgate Capital Fund, a Cayman Islands activist fund.
- Investment managers, generally on business structuring, fund launches, client documents and regulatory matters, and advising as external general counsel.
- PrimeXtend, a start-up prime services provider, on its prime brokerage documents with a major international bank and on the customer facing documentation for its prime services business.
Hedge Funds (2014-2022)
Derivatives and Structured Products (2017)
Venture Capital Law (2018-2022)
- MA, Modern Languages and Law, Cambridge University, Girton College
- England and Wales
- Member, Law and Society of England and Wales
- Member, International Bar Association
- Liveryman, Worshipful Company of International Bankers