Faegre Drinker Biddle & Reath LLP, a Delaware limited liability partnership | This website contains attorney advertising.

Overview

In the highly regulated financial markets, we help you assess and mitigate compliance and regulatory risks through ongoing risk management assessments and regular counsel on internal protocols for meeting fiduciary, disclosure and other regulatory obligations. We advise investment companies, their boards and advisers, as well as broker-dealers, commodity pool operators and trading advisors, and distributors on establishing and assessing compliance policies and procedures. We conduct risk management assessments for regional and national firms, including those with foreign operations, to evaluate and address conflicts of interest, breaches of fiduciary duty and securities law violations. Our attorneys help draft and implement policies and procedures across the range of compliance risks.

Insights & Events

Latest

Updates June 2025

Tax Court Clarifies Functional Analysis for Limited Partners and Self-Employment Tax

Soroban Capital Partners LP v. Commissioner
5 min read  
Speaking Engagement Recap May 28, 2025

2025: the Year of Private Credit Investment Opportunities and Potential Pitfalls

Institutional Limited Partners Association Webcast
1 min read  
Recorded Webinar May 15, 2025

Inside the Beltway - Webinar

28 min read  
Speaking Engagement Recap May 14, 2025

Trading Practices, Portfolio Compliance and Related Enforcement Cases

Investment Adviser Certified Compliance Professional (IACCP) Program Symposium
1 min read  
Updates May 2025

What the CFTC’s Recent Actions on Digital Assets and Environmental/Sustainable Commodities Signal to the Market

Lead or Be Left Behind
7 min read  
Media Mentions April 2025

Ilene Froom Discusses Market Volatility in Banking Industry With Risk.net

1 min read  
Updates April 2025

DOJ Releases New Key Guidance on Its Data Security Program (DSP)

Substantial Compliance Obligations Related to Certain Foreign Transactions Involving Sensitive Personal and Government Data
16 min read  
Blog Post April 2025

FINRA’s Focus on Account Recommendations and Rollovers

Broker Dealer Law blog
1 min read  
News February 2025

Faegre Drinker Practices and Attorneys Ranked Among Leaders in Chambers Global Guide 2025

2 min read  
Press Release November 2024

Faegre Drinker Welcomes Derivatives Partner Ilene Froom to New York Investment Management Group

2 min read  
Insights
Updates June 2025

Tax Court Clarifies Functional Analysis for Limited Partners and Self-Employment Tax

Soroban Capital Partners LP v. Commissioner
5 min read  
Updates May 2025

What the CFTC’s Recent Actions on Digital Assets and Environmental/Sustainable Commodities Signal to the Market

Lead or Be Left Behind
7 min read  
Media Mentions April 2025

Ilene Froom Discusses Market Volatility in Banking Industry With Risk.net

1 min read  
Updates April 2025

DOJ Releases New Key Guidance on Its Data Security Program (DSP)

Substantial Compliance Obligations Related to Certain Foreign Transactions Involving Sensitive Personal and Government Data
16 min read  
Blog Post April 2025

FINRA’s Focus on Account Recommendations and Rollovers

Broker Dealer Law blog
1 min read  
Media Mentions March 2025

Fred Reish Comments on Shifting Strategies on DOL Fiduciary Rule for Financial Advisor

1 min read  
Media Mentions March 2025

David Williams Featured in American Lawyer’s ‘How I Made Practice Group Chair’ Series

1 min read  
Updates March 2025

Trump Administration’s America First Investment Policy to Bring Changes to CFIUS and Outbound Investment Reviews

New Risks and Opportunities for Both Foreign and Domestic Investors
6 min read  
Media Mentions February 2025

Fred Reish and Brad Campbell Discuss 401(k) Contribution Limits With InsuranceNewsNet

2 min read  
Blog Post February 2025

What’s New with FINRA’s Recent 2025 Regulatory Oversight Report

Broker Dealer Law blog
1 min read