- Financial Services
- Insurance Products
- Cybersecurity & Privacy
- Investment Adviser
- Mutual Funds
- Capital Markets & Investments
- Retirement Products & Services
|Contact Info||Telephone: 212.389.5052|
|University ||Cornell University, B.A.|
|Law School||Hofstra University School of Law, J.D.|
|Admitted||1986, District of Columbia; New Jersey; New York|
Member, New York City Bar Association
Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania
Former Chair, FINRA Variable Products Committee
Former Board Member, National Society of Compliance Professionals
|Born||Brooklyn, New York, January 17, 1960|
Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country's largest dually-registered broker-dealer/advisers and then joined Sutherland in 2006. He relies on his regulatory and in-house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.
With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.
While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.
Cliff is a frequent speaker at industry conferences, and 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 (published by the Practising Law Institute).
Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.
Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.
Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.
Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.
Awards and Rankings
Recognized by The Legal 500 United States in the area of financial services: regulatory (2015)
Coalition of Collective Investment Trusts
Documents by this lawyer on Martindale.com
SEC Charges Investment Adviser with Failure to Adopt Required Cybersecurity Policies Prior to Breach
Eric A. Arnold,Mark D. Herlach,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, September 28, 2015
On September 22, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement order with R.T. Jones Capital Equities Management, Inc., a St. Louis-based SEC registered investment adviser, for failure to establish required cybersecurity policies and procedures in...
NAIC Close to Adopting Guideline for IUL Illustrations
Eric A. Arnold,Frederick R. Bellamy,Thomas E. Bisset,Dodie C. Kent,Clifford E. Kirsch, June 11, 2015
On June 4, after long deliberation and extensive consultation with issuers of indexed universal life (IUL) insurance policies and other interested parties by the Life Actuarial (A) Task Force (LATF), the NAIC’s Life Insurance and Annuities (A) Committee adopted new Actuarial Guideline 49...
NASAA M&A Broker Model Rule
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, April 10, 2015
On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain merger and acquisition brokers (M&A Brokers) from state registration...
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