Carl Frischling

Carl Frischling: Leading Financial Services Attorney & Mutual Fund Expert

Carl Frischling stands as a recognized leader in the field of financial services law, renowned for his deep expertise in investment company regulation, mutual funds, and complex financial transactions. As Chair of the Financial Services Group, Mr. Frischling advises a prestigious roster of firms, guiding them through the intricate legal landscapes of the financial industry. With a pioneering history in bank-related mutual funds and a distinguished career spanning decades, he provides unparalleled counsel and strategic direction to clients seeking to navigate the complexities of the modern financial world.

Mr. Frischling’s counsel extends across a broad spectrum of services, including acquisitions and sales of investment managers and investment management companies, structuring comprehensive mutual fund complexes, advising on distribution channels and alliances, and ensuring compliance with evolving federal securities laws. He possesses a unique understanding of fiduciary obligations under securities laws and expertly guides mutual funds and their independent directors/trustees through this critical area.

Prior to his current role, Mr. Frischling served as chief administrative officer and general counsel for a significant mutual fund complex, overseeing a retail and institutional sales force, investment counseling operations, and an internal transfer agent. This extensive experience – a full decade within the organization – provided him with a profound understanding of the day-to-day operations and legal considerations inherent in financial services. His involvement on the Investment Company Institute Board of Governors, alongside ongoing engagement with regulatory bodies, cemented his position as a key influencer within the industry.

Throughout his career, Mr. Frischling has consistently demonstrated a commitment to innovation and leadership. He played a pivotal role in the development of numerous new mutual fund products and helped shape the regulatory framework governing the industry. His long tenure on the board of Invesco Mutual Funds – a remarkable 35 years – is a testament to his judgment, insight, and dedication. Furthermore, his contributions to the Reich & Tang Funds board and his original role as a director of the Mutual Fund Directors Forum underscore his enduring commitment to promoting best practices within the investment community.

Mr. Frischling’s expertise is sought after across a range of sectors, from traditional mutual funds to complex structured investments. He leverages his deep regulatory knowledge and practical experience to deliver tailored solutions that mitigate risk, maximize opportunities, and ensure full compliance. He is a recognized thought leader and a trusted advisor to companies seeking to thrive in the dynamic financial services market.

Practice Areas:

• Corporate Law
• Mutual Funds Law
• Financial Services Regulation Law
• Banking and Finance Law

Awards & Recognition:

• Recognized: Corporate Law, Recognized: Mutual Funds Law (since 2009) - Best Attorney USA
• Practice Area: Banking and Finance Law, Practice Area: Financial Services Regulation Law
• Chambers and Partners’ Chambers USA (2010-2016)
• Legalease’s Legal 500 US (2006; 2009-2016)
• 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)

Affiliations:

• Columbia University Medical Center (Advisory Board Member)
• Yorkville Youth Council (Former Trustee)
• BoardIQ (Advisory Board Member)
• Money Management Executive (Editorial Board Member)

Location: New York, State: New York, Country: United States