With a deep understanding of the financial markets, Susan Krawczyk helps broker-dealers, investment advisers 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, such as mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs, in the registered investment adviser context (i.e., the “RIA channel”). She works with clients in establishing marketing and selling arrangements for these programs that satisfy regulatory requirements. She also assists clients with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results.
Susan has been closely involved with numerous enterprises in the establishment, restructuring and acquisition of broker-dealer firms, and has handled numerous new member application (NMA) and continuing membership application (CMA or 1017) filings with FINRA to obtain approval of these transactions. She has developed and conducted training programs for all levels in broker-dealer firms, including sales representatives, field supervisors, home office personnel and boards of directors.
Susan represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She also has served on FINRA’s Variable Products Committee.
Member, American Bar Association
Member, The Virginia Bar Association
Member, National Society of Compliance Professionals
Member, Association of Life Insurance Counsel