- Financial Services
- Banking & Financial Institutions
- Insurance Regulatory and Compliance
- Investment Adviser
- Retirement Products & Services
- Privacy & Data Security
|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.
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.
Documents by this lawyer on Martindale.com
Price Optimization Update: NAIC Revises White Paper, Florida and Indiana Question Certain Practices
Eric A. Arnold,Thomas W. Curvin,Stephen E. Roth,Cynthia R. Shoss,Phillip E. Stano, May 19, 2015
“Price optimization,” a practice that uses predictive modeling and data analytics in pricing insurance products, continues to draw the attention of state regulators, consumer advocates, and class action plaintiffs. Last week, Indiana and Florida issued statements questioning certain...
Focus On International Standards
Bert Adams,Eric A. Arnold,B. Scott Burton,James R. Dwyer,Eric R. Fenichel, May 13, 2015
The influence of international standards on the direction of insurance regulation in the United States has dominated public discussion about insurance regulation during recent years. Nowhere was that more evident than in Washington, D.C., last week. On May 5, the 6th Annual U.S.-EU Insurance...
Unclaimed Property Audit Primer for Broker-Dealers
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, April 29, 2015
The same State Treasurers and contingency-fee unclaimed property auditors that focused on the life insurance industry are now turning their attention to broker-dealers. Sutherland has been actively assisting companies with unclaimed property audits and currently represents broker-dealers that have...
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