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

Michael B. Koffler

Michael Koffler
Partner
New York,  NY  U.S.A.
Phone212.389.5014

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Experience & Credentials
 

Practice Areas

  • Financial Services
  • Broker-Dealer
  • Investment Adviser
  • Mutual Funds
  • Capital Markets & Investments
  • Private Investment Funds
  • Retirement Products & Services
  • Insurance
 
Contact InfoTelephone: 212.389.5014
Fax: 212-389-5099
http://www.sutherland.com/People/Michael-B-Koffler
 
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
 
Memberships 

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
 
Biography

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)

 
ISLN912234654
 

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...

Recent Regulatory Developments Affecting Private Offerings
Steven B. Boehm,Daphne G. Frydman,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, December 11, 2013
Effective September 23, 2013, the Securities and Exchange Commission (the SEC) lifted the ban on general solicitation of unregistered offerings relying on Rule 506 or Rule 144 under the Securities Act of 1933, as amended (the Securities Act), and adopted a rule prohibiting certain “bad...
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Office Information

Michael B. Koffler

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




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