Securities & fintech counsel for startups, funds, and RIAs
SEC compliance, digital assets, and boutique attention from attorneys who have worked inside the regulator.
From formation and fund launches to examinations and M&A — practical counsel for financial and technology companies.
Technology-Driven Legal Team Redefining the Role of Law in the Fintech Sector
Fintech Law - Your trusted partner for Fintech legal services, SEC compliance, startup legal counsel, startup compliance, digital assets & DEFI, private funds, blockchain, RIA, IP, data privacy.
Why Fintech Law?
- Over 35 years of industry experience.
- In-depth expertise in Securities and Exchange Commission (SEC) regulatory and compliance requirements, fund administration, corporate transactions, and startups.
- Fintech legal services tailored to your specific company.
- Innovative legal solutions for financial services and technology companies.
Financial and Technology Regulations are Complex and Can Be a Pain to Navigate
You need an experienced legal team to have your back and support you as you grow. That’s where the talented team at Fintech Law comes in.
Practice areas by client type
Boutique securities counsel for the matters fintech companies, fund managers, and advisers face most often.
Startup · Startup counsel
Entity formation, SAFEs and priced rounds, IP assignment, and fintech regulatory mapping.
RIA · RIA registration
Form ADV, compliance manuals, and SEC or state registration for investment advisers.
M&A · M&A advisory
Fintech due diligence, transaction documents, and regulatory approvals for buyers and sellers.
SEC Compliance · SEC compliance
Examination prep, marketing rule, Regulation S-P, and ongoing adviser compliance programs.
Fund · Fund formation
Private and registered fund documents, Form D and ADV filings, and ongoing manager compliance.
Digital Assets · Digital assets
Token classification, crypto fund structures, DeFi governance, and exchange licensing.
Privacy · Privacy & data compliance
Privacy policies, GLBA and state privacy laws, vendor DPAs, and breach response for fintech platforms.
Tech Legal · Platform agreements
Terms of service, SaaS and API licenses, cookie policies, and vendor contracts for technology companies.
Trusted, Experienced Securities Professionals
Knowledgeable, Capable, and Ready to Help Your Business Grow
Bo Howell
Managing Director Bo Howell knows securities and investment law. With over 16 years as a securities lawyer and Chief Compliance Officer, Bo has worked as the lead in-house counsel at a Fortune 500 asset manager, at the U.S. Securities and Exchange Commission (SEC) in the Division of Investment Management, and beyond. He has founded two companies, including a RegTech startup, and dozens of startups in legal and advisory capacities. His leadership combines deep regulatory expertise with a passion for leveraging technology to redefine legal services delivery.
Follow the FinTech Blog
The FinTech team works diligently to stay up to date with the latest world reports, SEC announcements, press releases, and more. Read our blog for industry updates.
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Bilt's Wells Fargo Breakup: What the $10M/Month Loss Reveals About Partner Bank Risk
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