Chair of FinTech and Regulation at Polsinelli PC
Richard B. Levin is the Chair of the Financial Services Technology (FinTech) and Regulation Practice at Polsinelli PC. His practice focuses on the representation of early stage and publicly traded companies in the FinTech industry, including broker-dealers, hedge funds, alternative trading systems (ATSs), exchanges, peer to peer lending platforms, robo advisors, crowdfunding portals, and digital currency platforms. He represents these firms before the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Financial Industry and Regulatory Authority (FINRA). Richard has represented clients before regulators in Australia, Canada, Hong Kong, Japan, and the United Kingdom and he counsels companies that appear before the United States Senate and the House of Representatives.
Richard played a leadership role in the launch of two joint ventures of leading investment banks, including: Bank of America, Barclays, BlackRock, Citibank, Credit Suisse, Deutsche Bank, Goldman Sachs, JPMorgan Chase, KCG, Merrill Lynch, Morgan Stanley, Northern Trust, State Street, and UBS. He has served in senior legal, business, and compliance positions in publicly traded and privately held financial services firms. Before entering private practice, he was the Global Head of Product Development for Compliance and Operations for Deutsche Bank.
Richard served as the General Counsel and Chief Compliance Officer of two U.S. ATSs and a U.K. based multi-lateral trading facility (MTF). He began his career on Wall Street by serving as the General Counsel of one of the original Electronic Communications Networks (ECNs), and as Assistant General Counsel and Regulatory Affairs Officer of Knight Capital Group. Richard is a frequent speaker at conferences on blockchain technology, regulatory, and market structure issues and is the co-author of the chapter on U.S. regulation of virtual currencies for the Handbook of Digital Currency published by Elsevier.