Michael B. Koffler: Lawyer with Sutherland Asbill & Brennan LLP

Michael B. Koffler

Michael Koffler
New York,  NY  U.S.A.

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Experience & Credentials

Practice Areas

  • Financial Services
  • Broker-Dealer
  • Investment Adviser
  • Mutual Funds
  • Business Development Companies
  • Capital Markets & Investments
  • Private Investment Funds
  • Retirement Products & Services
  • Cybersecurity & Privacy
Contact InfoTelephone: 212.389.5014
Fax: 212-389-5099
University State University of New York at Binghamton, B.A., summa cum laude
Law SchoolUniversity of Pennsylvania Law School, J.D.
Admitted1996, Maryland; 1998, District of Columbia; 2010, New York

Professional Activities
Member, New York State Bar Association
Member, New York City Bar Association
Member, FINRA Corporate Financing Rules, Hedge Funds, Investment Companies and Investment Advisers, and Trading and Markets Subcommittees, Federal Regulation of Securities Committee, and Member, Private Equity and Venture Capital Committee, Business Law Section, American Bar Association (ABA)

BornNew York, New York, 1971

Michael Koffler guides investment advisers, broker-dealers and investment funds in their compliance with federal and state securities laws and regulations, and SRO rules. Michael advises clients on the full spectrum of business operations, including advertising, portfolio management, trading, internal controls, compliance programs, mergers and acquisitions and other management issues. He also counsels other financial institutions-banks and insurance companies-on securities issues associated with the management and distribution of investment products.

Like many of his Sutherland colleagues, Michael began his legal career with a regulatory agency. He served two years on the staff of the U.S. Securities and Exchange Commission (SEC) in the Division of Investment Management, where he reviewed registration statements, no-action requests, exemptive applications and proxy statements. Michael also helped promulgate SEC rules and answer interpretive questions from financial institutions.

Selected Experience
Sutherland helps restructure private hedge fund of fund arrangement.
Sutherland is designing and documenting the plan- and participant-level investment advice arrangements for retirement market products.
Sutherland helps restructure electronic delivery practices for broker-dealer.

Awards and Rankings

Recipient, 2010 Burton Awards for Legal Achievement for “Six Degrees of Separation: Principles to Guide The Regulation of Broker-Dealers and Investment Advisers,” BNA's Securities Regulation & Law Report (April 27, 2009)

Client Tools
•SharpeFundsLaw Blog


Documents by this lawyer on Martindale.com

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SEC Charges Investment Adviser with Failure to Adopt Required Cybersecurity Policies Prior to Breach
Eric A. Arnold,Mark D. Herlach,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, September 28, 2015
On September 22, the Securities and Exchange Commission (SEC) announced that it had entered into a settlement order with R.T. Jones Capital Equities Management, Inc., a St. Louis-based SEC registered investment adviser, for failure to establish required cybersecurity policies and procedures in...

Deadline Approaching for Submission of 2014 BEA Survey of U.S. Direct Investment Abroad and Foreign Direct Investment in the U. S.
Katherine Meyers Cohen,N. Jerold Cohen,Dorothy Black Franzoni,Matthew J. Gries,Michael B. Koffler, June 25, 2015
The Bureau of Economic Analysis (BEA) of the U.S. Commerce Department is conducting its quinquennial (every five years) survey of investment in foreign entities. The BE-10 Benchmark Survey (BE-10 Survey) is the most comprehensive survey of U.S. investment abroad. The collection of this information...

SEC Updates Guidance on Cybersecurity
Steven B. Boehm,Michael B. Koffler,Robert D. Owen,Stephen E. Roth,Mary Jane Wilson-Bilik, May 1, 2015
Emphasizing the critical importance of cybersecurity to registered investment companies (RICs), including insurance separate accounts and business development companies, and to investment advisers, the SEC’s Division of Investment Management issued new Cybersecurity Guidance on April 28, 2015...

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Office Information

Michael B. Koffler

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


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