Fred Krieger’s practice focuses on the business of financial services firms, involving federal, state, and self-regulatory requirements, compliance and legal matters, firm governance, and product structures and requirements. This includes product and broker-dealer regulation, FINRA and Securities and Exchange Commission examinations, inquiries and investigations, development of policies and procedures, supervisory structure and governance, internal reviews, enhancing firm culture and control environment, and compliance advice and training.
He has extensive experience on cross-border activity, fixed income, derivatives, and complex products and has represented and advised clients in matters relating to AML, KYC, employee misconduct, sales practices, trading, investment banking, and proprietary and confidential information. He can assist clients in developing a holistic approach to problem solving, integrating management of matters that involve multiple stakeholders and parties of interest, including management, investors, governing boards and committees, employees, and counterparties.
Most recently, Mr. Krieger served for over eight years as the general counsel of a mid-market broker-dealer with an institutional fixed income business, from its inception through its acquisition by a global bank.
Previously, he served as head of the Regulatory Risk Group of the New York Stock Exchange, associate general counsel of the Chicago Board Options Exchange, and trial attorney in the Trial Unit of the Securities and Exchange Commission.
Mr. Krieger also served in senior roles at major financial institutions, including chief compliance counsel, head of European Compliance, and Managing Director of Fixed Income, Derivatives, and Emerging Markets at Salomon Brothers and Citigroup. He also was global head of compliance of Charles Schwab. He practiced law at two major law firms, Morgan, Lewis & Bockius and Katten Muchin (Rosenman & Colin).
Mr. Krieger is the founder of the Mid-Market Financial Services Regulatory Group, which provides support and serves as a clearing house for thought and ideas for mid-market financial services firms. He has served in various industry groups, including SIFMA committees, the Executive Committee of the Compliance and Legal Division of the SIA. He chaired the Compliance Committee of the Bond Market Association, the Compliance Committee of the Emerging Markets Trader Association, the Steering Committee of the Securities House Compliance Officers Group in London, and the Compliance Committee of the London Investment Banking Association.
He has also served on the business conduct committees of the Chicago Board Options Exchange and the Philadelphia Stock Exchange. He has taught at IIT Chicago-Kent College of Law (seminar on securities market regulation), Catholic University of America (securities litigation), and American University (legal methods), and has been a frequent speaker on securities regulation topics at legal conferences.