Skip to main content

Fried Frank's Financial Regulation Practice regularly represents a full range of regulated financial organizations with respect to important regulatory, risk management, and compliance considerations that affect their business. Our financial regulatory capabilities include advising commercial and investment banks, broker-dealers, registered investment advisers, money transmitters and payment providers, licensed lenders, cryptocurrency exchanges, and fintech companies, among others, on:

  • Chartering and licensing
  • Regulatory compliance
  • Mergers and acquisitions
  • Reorganizations
  • Regulatory actions and litigations
  • Legislative and regulatory developments

Our work frequently involves advising financial organizations in complying with relevant federal and state regulatory agencies, including the SEC, FINRA, CFTC, NFA, the federal banking agencies (Federal Reserve, OCC, and FDIC), the CFPB, and FinCEN. We actively advise clients in connection with governmental and self-regulatory organization inquiries, enforcement investigations, and proceedings. Our team is global, and we advise on the Alternative Investment Fund Managers Directive (AIFMD), the European Market Infrastructure Regulation (EMIR), the Markets in Financial Instruments Directive (MiFID/MiFID II), and the Markets in Financial Instruments Regulation (MiFIR). Our lawyers are an important voice in the financial regulatory landscape, providing unparalleled analysis and interpretation in an increasingly complex and highly regulated marketplace. Our acclaimed legal website, Fried Frank Regulatory Intelligence, is an invaluable tool to government regulators and major buy- and sell-side firms, and has been endorsed by former chairpersons of both the SEC and CFTC.

Fried Frank's Financial Regulation Practice regularly represents a full range of regulated financial organizations with respect to important regulatory, risk management, and compliance considerations that affect their business. Our financial regulatory capabilities include advising commercial and investment banks, broker-dealers, registered investment advisers, money transmitters and payment providers, licensed lenders, cryptocurrency exchanges, and fintech companies, among others, on:

  • Chartering and licensing
  • Regulatory compliance
  • Mergers and acquisitions
  • Reorganizations
  • Regulatory actions and litigations
  • Legislative and regulatory developments

Our work frequently involves advising financial organizations in complying with relevant federal and state regulatory agencies, including the SEC, FINRA, CFTC, NFA, the federal banking agencies (Federal Reserve, OCC, and FDIC), the CFPB, and FinCEN. We actively adv...

Upcoming events

2022 Annual Regulatory Compliance Seminar

News and recognition

Insights and analysis