Clifford E. Kirsch: Lawyer with Sutherland Asbill & Brennan LLP

Clifford E. Kirsch

Partner
New York,  NY  U.S.A.
Phone212.389.5052

Peer Rating
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Client Rating

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Experience & Credentials
 

Practice Areas

  • Financial Services
  • Broker-Dealer
  • Insurance
  • Insurance Products
  • Cybersecurity & Privacy
  • Investment Adviser
  • Mutual Funds
  • Capital Markets & Investments
  • Retirement Products & Services
 
Contact InfoTelephone: 212.389.5052
Fax: 212-389-5099
http://www.sutherland.com/People/Clifford-E-Kirsch
 
University Cornell University, B.A.
 
Law SchoolHofstra University School of Law, J.D.
 
Admitted1986, District of Columbia; New Jersey; New York
 
Memberships 

Professional Activities
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

 
BornBrooklyn, New York, January 17, 1960
 
Biography

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.

Selected Experience

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)

Client Tools

Coalition of Collective Investment Trusts

 
ISLN905855965
 

Documents by this lawyer on Martindale.com

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SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
Eric A. Arnold,Cynthia R. Beyea,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, January 6, 2016
On December 22, 2015, the Securities and Exchange Commission took the first step in overhauling SEC regulation of transfer agents, the little-discussed but critical intermediaries involved in the prompt clearance and settlement of almost all U.S. securities. After many years in which other types of...

Hailing a CAB - Does FINRA’s Proposed Capital Acquisition Broker Rule Set Get Private Fund Sponsors to Their Desired Destination?
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, January 4, 2016
For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in raising capital for private funds or other issuers of unregistered securities or in merger and acquisition advisory activities.1 These broker-dealers would...

NAIC IUL Illustration Subgroup Proposes Revisions to Actuarial Guideline 49
Eric A. Arnold,Frederick R. Bellamy,Thomas E. Bisset,Dodie C. Kent,Clifford E. Kirsch, November 9, 2015
On November 3, the National Association of Insurance Commissioners (NAIC) IUL Illustration (A) Subgroup circulated for comment proposed revisions (Proposed Revisions) to recently adopted Actuarial Guideline 49 governing illustrations for indexed universal life (IUL) insurance policies. The Proposed...

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Office Information

Clifford E. Kirsch

1114 Avenue of the Americas, 40th Floor
New YorkNY 10036-7703




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