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Fintech Regulatory Compliance & Enforcement

The regulatory environment for fintech companies is developing as quickly as fintech itself. Fintech firms must keep up with these changes because they are subject to an abundance of legal and regulatory oversight, some specific to the financial or technology industries, and others applicable to business in general. Parker Poe’s compliance attorneys can provide business, regulatory, and compliance solutions to fit the needs of your fintech company, whether you are a startup or an established company, and cater those solutions to your company’s specific needs. Our clients include investment companies, investment advisers, broker-dealers, insurance companies, and others in the financial services industry and beyond. Our team can help you assess risks and put into place compliance solutions to help prevent compliance failures before they happen. 

In the event that your company (or its employees) becomes a witness, subject, or target of a governmental or grand jury investigation – or needs advice related to an internal investigation – Parker Poe has significant experience in representing clients faced with inquiries from governmental agencies including the DOJ, SEC, FINRA, FinCEN, CFTC, FTC, OFAC, IRS, CFPB, state attorneys general, and many others. Our team of former federal and state prosecutors and seasoned litigators defends clients against allegations at every stage of the criminal and regulatory enforcement process.

Parker Poe can advise on a variety of key areas of compliance and enforcement that include:

  • Allegations of fraud, including fraud involving securities and banks 
  • Anti-corruption and anti-bribery (FCPA and UK Bribery Act Compliance)
  • Anti-money Laundering (AML)
  • Antitrust
  • Crisis management
  • Cybersecurity and data privacy
  • Exports, sanctions and embargoes
  • Fair lending
  • Financial Regulation
  • ICO/Cryptocurrencies
  • Immigration
  • Public company reporting, governance and external communications
  • Sustainability and corporate responsibility
  • Tax
  • White collar criminal defense