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

Eric A. Arnold

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

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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

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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...

Florida Legislature Relaxes Agency Licensing Requirements for Broker-Dealer Branch Offices Selling Insurance Products but Creates New Disclosure Requirements for Surrenders
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Holly H. Smith, August 27, 2014
Under current Florida insurance laws, branch offices of broker-dealers selling insurance products in Florida are required to either “license” or “register” as agency branches (in addition to satisfying insurance producer licensing requirements). However, Florida recently...

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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Office Information

Eric A. Arnold

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980




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