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Frederic Krieger

Frederic Krieger

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Stradley Ronon Stevens & Young, LLP

Stradley Ronon Stevens & Young, LLP

United States • New York Elite

1

Banking and finance (including restructuring)

Co-chair of Stradley Ronon Stevens & Young, LLP ’s broker-dealer practice, Frederic Krieger  is well-versed in domestic and international securities markets regulation. Representing a range of financial services across the broker-dealer industry, Krieger advises clients with product, broker-dealer, and investment management regulation. This includes compliance advice, examination and other activities associated with regulatory bodies such as the SEC and FINRA.
Legal 500 Editorial commentary
Phone
215.564.8596
Email
[email protected]
Profile
stradley.com

Accolades

New York Elite

Profile

Work Department
Broker-Dealer, Investment Management
Position

Partner, Co-Chair, Broker-Dealer

Career

With extensive knowledge of securities markets regulation — both internationally and domestically — Frederic Krieger is well situated to advise and represent financial services firms of all sizes on product, bank, broker-dealer and investment management regulation; corporate governance; U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) examinations, investigations and inquiries; internal investigations; compliance advice and training; and related civil litigation.

Fred also represents international industrial companies in the development of global codes of conduct, focusing on employment practices, anti-corruption, government sanctions, anti-money laundering (AML) and know your customer (KYC), and other key policies related to ethical business culture and compliance.

See more at: https://www.stradley.com/frederic-m-krieger

Content supplied by Stradley Ronon Stevens & Young, LLP

Key clients

  • Securities Industry and Financial Markets Association (SIFMA)

Work highlights

Served as strategic legal counsel to the SIFMA in connection with broker-dealer financial and operational requirements, additionally facilitating regulatory body interactions and brief writing.