Corporate & Securities, Executive contracts

Lauri London counsels corporate and individual clients in connection with contracts, executive compensation and benefits, corporate law and regulatory and compliance matters. Her experience with complex business agreements stems from her law firm practice as a corporate and securities attorney and her experience as General Counsel and Chief Compliance Officer to two SEC-registered investment advisers prior to joining Cohen & Buckmann.

Executive Contracts and Compensation

• Representing leading executives during significant career events, in various industries including financial and professional services, real estate, and medicine.

• Drafting, reviewing, and negotiating executive compensation, non-competition agreements, equity plans, succession, separation and transition agreements.

• Drafting, reviewing and negotiating employment agreements, contractor agreements, equity grants and agreements; equity plans and awards, Separation Agreements and Releases and drafting complex compensation terms for executive and corporate clients.

• Drafting, reviewing, and negotiating equity and partnership awards, profits interests, employee compensation plans, LLC and partnership agreements for both participants and employers.

• Representing companies, executives and executive teams undergoing corporate mergers, acquisitions, divestitures and executive transitions, including advice regarding profits interests, carried interests, deferred compensation, post-employment restrictions and negotiated exits.

Given her in-house experience in financial institutions, Lauri is a popular advisor among financial industry leaders and private equity portfolio company executives in connection with navigating and understanding their profits interests and carried interests, negotiating exit packages and post-employment restrictions.

Investment Adviser Regulation, Compliance  and Consulting

• Advising registered investment advisers and their executives.

• Drafting and reviewing corporate and investment advisory contracts, compliance manuals, policies and procedures, advertisements and regulatory disclosure documents.

• Drafting and reviewing employment agreements, policies, compensation arrangements and incentive plans.

• Advising with regard to state, SEC and DOL regulatory compliance.

• Assisting with SEC examinations, drafting responses and addressing deficiencies.

Entrepreneurship and “Fractional” General Counsel Services

• Advising entrepreneurs and emerging companies

o general corporate matters and contracts

o compensation, equity and business matters,

o drafting consulting, independent contractor and other employment agreements; reviewing client agreements.

o often acting as a “fractional” general counsel by providing practical business advice to both corporate and individual clients focused on growing and developing their businesses.

Lauri’s Background

Lauri joined Cohen & Buckmann in 2018 and was promoted to Partner in 2021. Prior to joining the firm, she served as Chief Compliance Officer at Boston Private Wealth and its predecessor, Banyan Partners. In her role with both firms, she designed and implemented comprehensive compliance programs and was responsible for all regulatory and compliance matters. Lauri handled all regulatory issues relating to Boston Private Bank & Trust Company’s acquisition of Banyan Partners, including registration, and participated in committees and working groups to facilitate the acquisition and its subsequent integration.

Prior to working with Boston Private and Banyan, Lauri was General Counsel and Chief Compliance officer of Ark Asset Management, Inc. in New York, where she handled all legal and compliance matters for the privately held SEC registered investment adviser. Ark Asset managed institutional client accounts, including pension plans and Taft-Hartley Funds, and sponsored private investment funds, for which Lauri authored the offering and subscription documents and handled all compliance matters.

Before embarking on a legal career, Lauri earned her CPA, working in public and private accounting in the financial services industry.

Speaking Engagements

“Negotiate Smarter: An Offer Isn’t Final til You Sign,” AlphyTalk Tomorrow! , June 2022

“How to Negotiate Salary, Compensation and Employment Agreements”, St. Catherine’s Support Circle presentation, February 2022

“Mastering the Latest Twists to the SEC’s Custody Rules,” 21st Annual IA Compliance: The Full 360° View East, March 2019

Publications

"A Look at What the SEC's IA Fiduciary Duty Interpretation Means to You," Regulatory Compliance Watch, October 2019

“Overview of SEC Advertising Rules for Advisers” Regulatory Compliance Watch, January 2019

Insights Blog Post

RISK ALERT: DOE Shares Results of Marketing Rule Exams

FinCEN WANTS YOU! (TO REPORT), The Corporate Transparency Act – a Handy Guide.

Investment Advisers: Time is Up! Are your Marketing Policies and Procedures Exam-Ready?

Investment Advisers: Have You Reviewed Your Fees and Billing Practices?

Investment Advisers: Are you ready for your next SEC Examination?

RIAs and BDs: Where are the Red Flags?

Investment Advisers and Broker Dealers: Thought You Finished Your Form CRS? Think Again

OCIE Issues Risk Alerts for Form CRS and Reg BI Prior to Compliance Dates

Regulation BI: A Clarification for Investment Advisers or an Enhanced Standard of Conduct?

CCOs: Preparing for the New Advertising Rule

Does the SEC Expect Investment Advisers to make a Sweeping Compliance Upgrade?

Customize your IA Compliance Program

Investment Advisers: Did You Attach Your Annual Privacy Notice to Your Form ADV Update?

Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: Using Performance Claims in Marketing?