- Financial Services
- Insurance Products
- 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 andInvestment 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.
Documents by this lawyer on Martindale.com
FinCEN Customer Due Diligence Rule Proposal
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, August 27, 2014
On July 30, 2014, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued proposed rules (the “Proposed Rules”) to clarify and strengthen customer due diligence requirements for banks, securities broker-dealers, mutual funds, and futures...
Recent Regulatory Developments Affecting Private Offerings
Steven B. Boehm,Daphne G. Frydman,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, December 11, 2013
Effective September 23, 2013, the Securities and Exchange Commission (the SEC) lifted the ban on general solicitation of unregistered offerings relying on Rule 506 or Rule 144 under the Securities Act of 1933, as amended (the Securities Act), and adopted a rule prohibiting certain “bad...
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