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
  • Business Development Companies
  • Capital Markets & Investments
  • Private Investment Funds
  • Retirement Products & Services
  • Cybersecurity & Privacy
 
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)

Client Tools
•SharpeFundsLaw Blog

 
ISLN912234654
 

Documents by this lawyer on Martindale.com

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SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
Eric A. Arnold,Cynthia R. Beyea,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk, January 6, 2016
On December 22, 2015, the Securities and Exchange Commission took the first step in overhauling SEC regulation of transfer agents, the little-discussed but critical intermediaries involved in the prompt clearance and settlement of almost all U.S. securities. After many years in which other types of...

Hailing a CAB - Does FINRA’s Proposed Capital Acquisition Broker Rule Set Get Private Fund Sponsors to Their Desired Destination?
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, January 4, 2016
For many years, the private fund industry and the securities bar have called for a limited rule set to govern broker-dealers solely engaged in raising capital for private funds or other issuers of unregistered securities or in merger and acquisition advisory activities.1 These broker-dealers would...

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...

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Office Information

Michael B. Koffler

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




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