Fintech

Overview

Stradley Ronons multidisciplinary Fintech group possesses a sophisticated understanding of the legal, regulatory, corporate and transactional challenges impacting todays financial technology ecosystem. Our experienced team is at the forefront of many pressing issues facing the industry.

We represent:

  • Blockchain and Distributed Ledger Technology (DLT) Businesses
  • Digital Assets-Related Entities
  • Accredited and Retail Crowdfunding Platforms
  • Peer-to-Peer Lending Platforms
  • Alternative Trading Systems (ATSs)
  • Roboadvisers and Robobrokers
  • Social Investing Platforms

Our attorneys guide these financial industry and technology leaders by:

  • Ensuring compliance with federal and state securities, commodities, money services business, money transmitter, virtual currency, banking and tax laws.
  • Understanding and managing risk.
  • Providing support related to data protection and cybersecurity.

With former U.S. Securities and Exchange Commission (SEC), Commodity Futures Trading Commission and Financial Industry Regulatory Authority staff, and in-house counsel and counsel for exchanges, our team regularly leverages its long-standing private practice governmental experience, providing a valuable bridge to regulatory bodies.

Representative matters include advising:

  • Roboadvisers on how to navigate the intersection of investment adviser, broker-dealer and banking regulations and regulators.
  • Registered funds (including exchange-traded funds), private funds, advisers and investment platforms regarding the regulatory challenges of investing or facilitating trading in bitcoin and other digital asset investments.
  • A registered closed-end interval fund regarding the issuance of digital asset securities and related issues.
  • Accredited and retail crowdfunding platforms concerning structuring, regulatory challenges and innovations.
  • An ATS to successfully obtain an SEC exemptive order from Regulation M under the Exchange Act and no-action relief with respect to the Investment Company Act of 1940 to allow a secondary trading market in shares of registered, closed-end tender offer funds.
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