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Sutherland provides broker-dealers with counsel on day-to-day regulatory obligations.

ClientA major life insurance company and financial services provider
Description
A Sutherland financial services company client and its various broker-dealers receive counsel on day-to-day regulatory obligations related to compensation practices, supervisory structure, suitability process and interactions with the SEC and FINRA during the exam process.
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Sutherland Asbill & Brennan LLP is an international law firm helping the Fortune 100, industry leaders, sector innovators and business entrepreneurs solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

click to watch Videocast: DOL Fiduciary Rule Litigation Impacts
Videocast: DOL Fiduciary Rule Litigation Impacts
Atlanta, GA
Washington, DC
© 2017 Sutherland Asbill & Brennan LLP / Sutherland (Europe) LLP
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Experience - Sutherland provides broker-dealers with counsel on day-to-day regulatory obligations.
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