Clifford E. Kirsch


Partner
New York, P: 212.389.5052
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Cliff Kirsch, a member of Sutherland’s Financial Services Practice Group, conducts a comprehensive securities regulatory and compliance practice with a particular focus on broker-dealer and investment adviser 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 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 maters.

Before joining Sutherland, Cliff served more than 10 years as Chief Legal Officer for Prudential Financial’s Pruco Securities, a dually registered broker-dealer and investment adviser. In that capacity, he was responsible for advising on a wide range of broker-dealer and adviser matters. 

Cliff began his legal career at the U.S. Securities and Exchange Commission (SEC), reaching the position of Assistant Director of the Division of Investment Management and Chief of the Office of Insurance Products. Cliff’s tenure at the SEC spanned nearly 10 years, during which time he received the Manuel F. Cohen Younger Lawyer Award.

Cliff is 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 including serving as chair of ALI-ABA’s Investment Adviser Regulation and PLI’s course on broker-dealer regulation.
Education

J.D., Hofstra University School of Law, 1985

B.A., Cornell University, 1981

Bar Admissions

District of Columbia, New Jersey, New York