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Carl Frischling

Partner

Chair, Financial Services

Phone: 212.715.7520 Fax: 212.715.7636 New York

Carl Frischling, Chair of the Financial Services Group, advises financial services firms on financial services law, financial services regulation, investment company law and the law governing mutual funds. Mr. Frischling counsels clients on all the legal facets of their business, including acquisitions and sales of investment managers and investment management companies. A pioneer in the field of bank-related mutual funds, he guides clients in developing and structuring comprehensive mutual fund complexes, advises on distribution channels and alliances, and has played a key role in the development of many new mutual fund products. He also advises mutual funds and their independent directors/trustees on their fiduciary obligations under federal securities laws.

Mr. Frischling previously served as 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 10 years with the organization, he handled a comprehensive range of legal and business aspects within the financial services complex. He also served on the Investment Company Institute Board of Governors and was involved in ongoing matters with all the regulatory areas overseeing this industry.

Mr. Frischling has served on a number of boards of directors, including serving for 35 years on the board of Invesco Mutual Funds before retiring at the end of 2012, and on the Reich & Tang Funds board until September 2015. He was an original director of the Mutual Fund Directors Forum, a not-for-profit organization representing independent directors of investment companies, and served in that role until he became Trustee Emeritus in September 2015. He also serves as a member of the advisory board of Columbia University Medical Center and is a former trustee of the Yorkville Youth Council. Mr. Frischling serves on the advisory board of BoardIQ and on the editorial board of Money Management Executive, both of which are publications serving the financial services industry.

Ranking him in Band 2 Nationwide: Investment Funds for the past six years, Chambers USA recognizes Mr. Frischling as a “highly regarded” practitioner, noted for frequently representing independent directors in relation to their obligations under federal securities laws (Chambers USA 2015). Legal 500 has also listed Mr. Frischling as a leading lawyer in investment fund formation and management in mutual and registered funds, recommending him for eight of the past 10 years, and the past seven years in a row. Fund Directions awarded him its Lifetime Achievement Award in 2013 and its Inaugural Independent Counsel of the Year Award in 2007. He was also a named one of the Visionaries of the Modern Mutual Fund Industry by Strategic Insight in 2011.

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J.D. Columbia Law School
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M.B.A. Columbia University
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B.A. Columbia University
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New York
    -Woodward/White Inc.’s Best Lawyers (2009-2016)
    -Chambers and Partners’ Chambers USA (2010-2016)
    -Legalease’s Legal 500 US (2006; 2009-2015)
    -Thomson Reuters’ New York Super Lawyers Super Lawyer (2006-2015)
    -Lifetime Achievement Award, Fund Directions (2013)
    -Visionaries of the Modern Mutual Fund Industry, Strategic Insight (2011)
    -Independent Fund Counsel of the Year, Fund Directions (2007)
    -American Bar Association
    -Mutual Fund Directors Forum
    -New York County Lawyers Association
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