Susan Krawczyk helps broker-dealers, investment advisers, insurance organizations and sponsors to design, sell and deliver investment products and programs that perform for investors and that raise capital. The author of compliance manuals that became models for the industry, Susan has extensive experience in day-to-day regulatory, operational and compliance issues across the retail, institutional and retirement segments of the financial markets.
Susan advises clients regularly on distribution and wholesaling arrangements for both public and private offerings, including incentive, non-cash compensation and marketing support arrangements. Susan has particular experience with firms involved in the sale and distribution of investment products and programs in the registered investment adviser context (i.e., the RIA channel) and retirement plan markets. She has a deep familiarity with the distribution of mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs and the use of financial planning tools and asset allocation models for retail investors. She assists clients in establishing marketing arrangements for programs that satisfy regulatory requirements, including the new Department of Labor “conflict of interest” regulations for fiduciaries to retirement accounts. She also assists clients with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results.
Awards and Rankings
Recognized by The Legal 500 United States in the area of financial services: regulatory (2015)
Member, American Bar Association
Member, The Virginia Bar Association
Member, National Society of Compliance Professionals
Member, Association of Life Insurance Counsel