With more than 20 years experience in insurance, securities and banking law, Eric Arnold helps insurance companies, broker-dealers and investment advisers manage the complex distribution of insurance and investment products while balancing the disparate challenges of complying with increased regulatory processes, and doing so in an economically efficient manner.
Eric frequently reviews, revises and updates broker-dealer clients’ compliance manuals and procedures to reflect the impact of new rules, regulations and interpretations. He regularly advises broker-dealer and investment advisers on financial, operational and reporting requirements, including privacy, suitability and compensation issues.
On the transactional side, Eric counsels financial services clients on changes to their distribution structures, which includes providing assistance with adding to, subtracting from, and/or consolidating and combining broker-dealer, investment adviser and insurance agency operations in compliance with the applicable regulatory structure.
Since the passage of the Dodd-Frank Act, Eric closely follows the developing role of federal oversight of insurance activities.