Counsel for Companies in Regulated Markets

Regulatory & Compliance Attorneys

Fintech platforms, payment companies, broker-dealers, health technology businesses and other companies in regulated markets answer to federal and state regulators from the day they launch. At Industria Business Lawyers PLLC, our Regulatory and Compliance Group advises businesses on registration, licensing, compliance programs and responses to regulatory investigations.

Before you launch, we help you identify the licenses and registrations your business needs, such as money services business registration, broker-dealer registration, and the rules for payments and electronic fund transfers.

Once you operate, we build and update the compliance programs regulators expect to see: written policies, risk assessments, anti-money laundering programs, privacy and cybersecurity controls, and governance for AI systems.

We also advise companies in other closely regulated areas, including digital health, gaming and sweepstakes, cannabis, and commodities and derivatives.

If a regulator sends an inquiry or opens an investigation, we handle the response. For businesses that operate in more than one country, we advise on how the different rules fit together.

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14 services in 4 areas

Regulatory & Compliance Services

5 services

Financial Services & Payments

2 services

Technology, Data & AI

3 services

Regulated Industries

4 services

Compliance Programs & Investigations

What Our Clients Say About Us

“Since IBL was recommended to us in 2022 for industry-specific regulatory guidance, they’ve become an essential part of our team.

They consistently deliver thorough and timely work. We wholeheartedly recommend IBL.”

Felipe Pinto from Revolve Labs

Client testimonials describe individual experiences. You may not obtain the same or similar results.

“Aaron and the IBL team were referred to us by members of our DAO. They have been of very precious help when asking for answers but also connected us with very relevant teams when needed.

I would recommend working with Aaron and team.”

Julien Genestoux from Unlock, Inc

Client testimonials describe individual experiences. You may not obtain the same or similar results.

“I was recommended to IBL for regulatory guidance in two cutting-edge areas, and they delivered in a comprehensive manner.

As a result, we’ve continued to rely on them as our go-to legal counsel for ongoing corporate matters.”

Zachary Panos from Fourcaster LLC

Client testimonials describe individual experiences. You may not obtain the same or similar results.

“We had the pleasure of working with IBL to set up my Solar Carbon Credit Fund, and I cannot recommend them highly enough.

The attorneys were incredibly responsive, guiding me through every step of the process with clarity and professionalism.

They took the time to address all my questions and concerns, ensuring that I felt confident in each decision we made. Their attention to detail and thoroughness were evident in the documents they prepared, which gave me peace of mind. What stood out most was their commitment to my vision. They not only provided legal advice but also offered valuable insights into the industry, helping me navigate potential challenges and seize opportunities.

Overall, working with IBL was a fantastic experience. They made a complex process manageable and stress-free. Thank you for your outstanding support.”

Jeff from Solar Carbon Credit Fund

Client testimonials describe individual experiences. You may not obtain the same or similar results.

Speak with a regulatory and compliance attorney today

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