Cliff Kirsch is a member of Sutherland’s Financial Services Practice Group, practicing in the areas of securities regulation and compliance with a particular focus on broker-dealer and investment adviser regulatory compliance matters. He regularly advises clients on issues raised in connection with the design and distribution of a broad range of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. In addition, Cliff focuses on issues related to the design and implementation of corporate compliance programs at financial services firms, advising on privacy and information security, anti-money laundering, assessment of compliance risks and related matters.
Before joining Sutherland, Cliff served as Chief Legal Officer of one of the largest dually-registered broker-dealers and investment advisers as well as Assistant Director of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management. This unique background, coupled with his role in connection with various Financial Industry Regulatory Authority (FINRA) committees and working groups, allows him to provide a unique and practical perspective when advising clients.
Cliff is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (both published by the Practising Law Institute). He appears regularly on industry and legal panels that discuss broker-dealer and adviser matters and serves as chair of ALI-ABA’s course on Investment Adviser Regulation and PLI’s courses on Broker-Dealer and Investment Adviser Regulation.
© 2013 Sutherland Asbill & Brennan LLP