National legal counsel for financial services, broker-dealers and digital assets.
Estimated regulated-industry mix
Carlton Fields advises financial institutions, investment companies, advisers, broker-dealers and digital-asset businesses on licensing, compliance, transactions, investigations, enforcement and litigation. The company is headquartered in Tampa, Florida, United States. Its team brings together expertise in Financial Services Regulation, Investment Funds, Investment Advisers, Broker-Dealers, Regulatory Enforcement, and Financial Crime to support clients through structuring, licensing, implementation, compliance, and ongoing administration.
Leads Carlton Fields and its national legal-services strategy.
Advises financial-services clients on regulatory, compliance and investment-company matters.
Advises investment companies, private funds, advisers and other financial-services businesses.
Counsels investment advisers and financial institutions on regulation, compliance and enforcement matters.
Pricing is tailored to the scope, jurisdiction, complexity and delivery model.
Regulatory and compliance advice for financial institutions, investment firms and insurance businesses.
Pricing is tailored to the scope, jurisdiction, complexity and delivery model.
Pricing may vary by scope, market, media spend, and third-party costs. Data was sourced from public materials or confirmed by the vendor.
A digital-asset exchange required a U.S. corporate and regulatory structure addressing securities and commodities licensing questions.
The firm describes a completed formation and regulatory-advisory mandate for the exchange.
Digital-currency businesses needed to understand where state money-transmission laws applied to their operating models.
The firms received a state-by-state framework for licensing and compliance decisions.
Trading managers required fund structures and compliance frameworks for strategies involving multiple digital currencies.
The firm describes multiple completed advisory matters for digital-asset trading funds.
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