Innovation in the financial services industry is being driven by large investment banks and early stage companies developing and embracing new technologies. This convergence of the financial services industry and transformative technologies, commonly known as FinTech, is reshaping the landscape. Polsinelli’s Financial Services Technology (FinTech) and Regulation Practice brings together attorneys from across the firm to represent clients developing and exploring the use of FinTech in areas of innovation including

  • Artificial intelligence
  • Blockchain technology
  • Crowdfunded investment
  • Digital asset management
  • ePayments
  • Money services transmission
  • Payment processing technologies
  • Peer-to-peer lending
  • Robotic investment advice

Clients of Polsinelli’s FinTech practice comprise a wide range of early stage and established industry participants. The practice represents these firms on a variety of matters, including:

  • Corporate transactions
  • Cybersecurity and incident responses
  • Employment
  • Government investigations and compliance
  • Intellectual property
  • Labor and employment
  • Litigation
  • Public policy
  • Federal and state regulatory compliance
  • Securities and corporate finance
  • Tax

Members of the team are frequent speakers at conferences on blockchain technology, patents, regulatory and market structure issues.

  • Routinely representing ATSs before the SEC and FINRA. Polsinelli attorneys represented one of the first ECNs and the first ATS focused on infrastructure investments before the SEC and FINRA during the ATS application process. 
  • Advising early stage companies on a variety of securities regulatory and anti-money laundering compliance matters.
  • Representing leading U.S. digital currency trading platforms and blockchain technology firms before the Department of Justice, the SEC, and the CFTC in investigations and enforcement actions.
  • Advising investment banks, ATS, and stock exchange on securities regulatory and Bank Secrecy Act matters.
  • Counseled the U.S. subsidiary of a European investment bank after it failed to report several thousand transactions over a three-year period to FINRA. Successfully negotiated a settlement with FINRA that avoided substantial monetary sanctions and negative publicity. Advised the client in the implementation of remedial measures to address potential future violations. 
  • Advising the operators of platforms for the sale of unregistered securities under Rule 506 of Regulation D, crowdfund investing, registration as a stock exchange, and as a commodity exchange for trading digital currencies.
  • Represented the U.S. investment banking subsidiary of a leading global bank in a state securities regulatory action involving more than $20 billion in securities transactions. As part of settlement, the client avoided potential negative publicity and was permitted to register as a broker-dealer. 
  • Counseling U.S. broker-dealer subsidiaries of European and Asian banks in SEC and FINRA regulatory matters. 
  • Advising peer-to-peer lending platforms  and regulated investment advisors on securities regulatory and commercial lending matters. 
  • Represented a multi-billion dollar family office before the CFTC with respect to commodity pool operator status. 
  • Lobbied on behalf of a broker-dealer and ATSs that supported the JOBS Act. 
  • Advising ATSs and digital currency trading platforms on intellectual property matters, including patent strategy and prosecution.
  • Advising boards of directors and management on general corporate, securities, mergers and acquisitions and intellectual property matters in the U.S. and abroad.
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
December 1, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
November 5, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
October 26, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
October 9, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
October 7, 2020
text icon Publications & Presentations
Co-Author, Polsinelli BitBlog
October 1, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
September 30, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
September 15, 2020
text icon Publications & Presentations
Co-author, Polsinelli BitBlog
September 15, 2020
eAlerts Updates
September 15, 2020
Related News


Past Events