Eric A. Arnold: Lawyer with Sutherland Asbill & Brennan LLP

Eric A. Arnold

Eric A. Arnold
Partner
Washington,  DC  U.S.A.
Phone202.383.0741

Peer Rating
N/R
 N/R

Client Rating

Printer Friendly VersionEmail this PageDownload to My Outlook ContactsAdd lawyer to My FavoritesCompare this lawyer to other lawyers in your favorites

Experience & Credentials
 

Practice Areas

  • Financial Services
  • Insurance
  • Broker-Dealer
  • Banking & Financial Institutions
  • Insurance Regulatory and Compliance
  • Investment Adviser
  • Retirement Products & Services
  • Privacy & Data Security
 
Contact InfoTelephone: 202.383.0741
Fax: 202-637-3593
http://www.sutherland.com/People/Eric-A-Arnold
 
University Brown University, B.S.
 
Law SchoolVanderbilt University Law School, J.D. Associate Editor, Vanderbilt Law Review, Order of the Coif
 
Admitted1992, Michigan; 1993, District of Columbia
 
BornPhiladelphia, Pennsylvania, June 27, 1964
 
Biography

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.

Selected Experience
Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.
Financial services company relies on Sutherland in establishing a retirement plan platform to facilitate product distribution.
Sutherland provides broker-dealers with counsel on day-to-day regulatory obligations.

 
ISLN901665223
 

Documents by this lawyer on Martindale.com

Subscribe to this feed

FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, November 8, 2014
Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are prohibited from including any provisions in arbitration settlement...

What Does It Take to Make the SEC Happy? SEC Criticism of Broker-Dealers’ Due Diligence for Sales of Unregistered Securities Leaves More Questions Than Answers
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, November 4, 2014
To ensure that broker-dealers (BDs) do not inadvertently facilitate an unlawful distribution of securities, the Securities and Exchange Commission has long required BDs to conduct a “reasonable inquiry” into the circumstances surrounding their customers’ claimed registration...

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...

Profile Visibility
#505 in weekly profile views out of 51,510 lawyers in Washington, District of Columbia
#20,054 in weekly profile views out of 1,587,858 total lawyers Overall

Office Information

Eric A. Arnold

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980




Loading...
 

Professional Networking for Legal Professionals Only

Quickly and easily expand your professional
network - join the premier global network for legal professionals only. It's powered by the
Martindale-Hubbell database - over 1,000,000 lawyers strong.
Join Now