- Financial Services
- Retirement Products & Services
- Banking & Financial Institutions
- Insurance Regulatory and Compliance
- Investment Adviser
|Contact Info||Telephone: 202.383.0741|
|University ||Brown University, B.S.|
|Law School||Vanderbilt University Law School, J.D. Associate Editor, Vanderbilt Law Review, Order of the Coif|
|Admitted||1992, Michigan; 1993, District of Columbia|
|Born||Philadelphia, Pennsylvania, June 27, 1964|
With more than 20 years experience in insurance, securities and banking law, Eric Arnold helps insurance companies, broker-dealers and investment advisers manage the complex distribution of insurance and investment products while balancing the disparate challenges of complying with increased regulatory processes, and doing so in an economically efficient manner.
Eric frequently reviews, revises and updates broker-dealer clients' compliance manuals and procedures to reflect the impact of new rules, regulations and interpretations. He regularly advises broker-dealer and investment advisers on financial, operational and reporting requirements, including privacy, suitability and compensation issues.
On the transactional side, Eric counsels financial services clients on changes to their distribution structures, which includes providing assistance with adding to, subtracting from, and/or consolidating and combining broker-dealer, investment adviser and insurance agency operations in compliance with the applicable regulatory structure.
Since the passage of the Dodd-Frank Act, Eric closely follows the developing role of federal oversight of insurance activities.
Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.
Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.
Financial services company relies on Sutherland in establishing a retirement plan platform to facilitate product distribution.
Sutherland assisted a financial services company with a retirement plan platform to facilitate the distribution of insurance and investment products.
Sutherland provides broker-dealers with counsel on day-to-day regulatory obligations.
A financial services company client and its various broker-dealers receive counsel from Sutherland on day-to-day regulatory obligations related to compensation practices, supervisory structure, suitability process and interactions with the SEC and FINRA during the exam process.
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...
SEC Waives Whistleblower Eligibility Requirements to Issue $400,000 Award
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Thomas R. Bundy, August 12, 2014
On July 31, the U.S. Securities and Exchange Commission (SEC or Commission) issued a $400,000 whistleblower award to an individual who provided information leading to a successful SEC enforcement action. The SEC’s whistleblower program was created by the 2010 Dodd-Frank Wall Street Reform and...
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