Eric Arnold is a member of the Sutherland’s Financial Services Practice Group, where he focuses his practice on insurance, securities and banking law issues involving the distribution of insurance and investment products by broker-dealers, investment advisers and other financial intermediaries.
Eric frequently works with broker-dealer clients to review, revise and update their compliance manuals and procedures. He also regularly advises broker-dealer and investment advisory clients on financial, operational and reporting requirements, including privacy and anti-money laundering issues. On the transactional side, Eric has counseled financial services clients on the rationalization of their distribution structures, which has included providing assistance with consolidating and combining broker-dealer, investment adviser and insurance agency operations in compliance with the applicable regulatory structure.
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