Susan S.
Krawczyk
Partner

202.383.0197

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.

Selected Experience

Awards and Rankings

Recognized by The Legal 500 United States in the area of financial services: regulatory (2015) 

Professional Activities

Member, American Bar Association
Member, The Virginia Bar Association
Member, National Society of Compliance Professionals
Member, Association of Life Insurance Counsel

Education
  • J.D., George Washington University National Law Center, Order of the Coif
  • B.A., Indiana University of Pennsylvania
Bar Admissions
  • District of Columbia
  • Virginia

Our Story

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.

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