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Carl Frischling


Chair, Financial Services

Phone: 212.715.7520 Fax: 212.715.7636 New York

Carl Frischling is Chair of the Financial Services Group. His practice focuses on financial services law, financial services regulation, investment company law, and mutual funds. Senior Partner of the Financial Services Group, Mr. Frischling counsels clients in all of the legal facets that impact financial services firms, including acquisitions and sales of investment managers and investment management companies. He is a pioneer in the field of bank-related mutual funds and has counseled clients in developing and structuring comprehensive mutual fund complexes. Mr. Frischling also advises mutual funds and their independent directors/trustees on their fiduciary obligations under federal securities laws. He has helped clients develop many new mutual fund products and advises clients on distribution channels and alliances. Mr. Frischling speaks at industry conferences and has written articles about a number of these subjects in the financial press.

Prior to his practicing law in a law firm, he was chief administrative officer and general counsel of a large mutual fund complex that included a retail and institutional sales force, investment counseling and an internal transfer agent. During his ten years with the organization, he advised clients in a number of legal and business areas within the financial services complex. He served on the Investment Company Institute Board and was involved in ongoing matters with all of the regulatory areas overseeing this industry.

Mr. Frischling serves on the board of the Invesco Mutual Funds and the Reich & Tang Funds. He is a Trustee of the Yorkville Youth Council. Mr. Frischling is a Director of the Mutual Fund Directors Forum, a not-for-profit organization representing independent directors of investment companies. He serves on the Advisory Board of BoardIQ and on the Editorial Board of Money Management Executive, which are publications serving the financial service industry.

Mr. Frischling is ranked in Band 2 Nationwide: Investment Funds in Chambers USA 2010-2015, Legal 500 (2006, 2009-2015), Best Lawyers (2009-2016) and New York Super Lawyers (2006-2015). In 2007 he received the Inaugural Independent Counsel of the Year Award from Institutional Investor’s magazine Fund Directions. He was also a recipient of the Strategic Insight Visionary Award in 2011. In 2013, he received the Lifetime Achievement Award from Fund Directions.

J.D. Columbia Law School
M.B.A. Columbia University
B.A. Columbia University
New York
    -American Bar Association
    -New York County Lawyers Association
    -Mutual Fund Directors Forum