Fred Krieger has successfully helped a variety of clients navigate complex financial services regulation, corporate compliance and firm governance matters. Fred has extensive knowledge of securities market regulation, both internationally and domestically, including product, bank, broker-dealer, and investment management regulation, corporate governance, Securities and Exchange Commission and FINRA examinations, investigations and inquiries, internal investigations and compliance advice and training.
In addition to his high-profile financial services clients, Fred also represents international industrial companies in the development of global codes of conduct, focusing on employment practices, anti-corruption, government sanctions, AML and KYC and other key policies related to ethical business culture and compliance.
A leader in the industry, Fred has held senior positions at broker-dealers, exchanges, global banks and in government. As a former trial attorney in the Trial Unit of the SEC’s Division of Enforcement, Fred litigated securities cases in various federal courts across the country. He also worked at several law firms, practicing as a broker-dealer and financial services lawyer and litigator. Fred was associate general counsel of the Chicago Board Options Exchange, responsible for market structure and regulatory rules, and vice president of New York Stock Exchange – Regulation, where he led its Regulatory Risk Group.
Fred has held various leadership roles in the investment banking industry including global head of compliance at Charles Schwab; managing director of Citi Geneva Capital Strategies; managing director, head of corporate and investment banking compliance for fixed income, emerging markets and derivatives at Citigroup; and general counsel at leading asset-backed securities dealer KGS-Alpha Capital Markets.