- Financial Services
- Investment Adviser
- Mutual Funds
- Capital Markets & Investments
- Private Investment Funds
- Retirement Products & Services
- Privacy & Data Security
|Contact Info||Telephone: 212.389.5014|
|University ||State University of New York at Binghamton, B.A., summa cum laude|
|Law School||University of Pennsylvania Law School, J.D.|
|Admitted||1996, Maryland; 1998, District of Columbia; 2010, New York|
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)
|Born||New 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.
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)
Documents by this lawyer on Martindale.com
SEC Releases Results of 2014 Cybersecurity Exam Sweep
Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Stephen E. Roth,Mary Jane Wilson-Bilik, February 13, 2015
On February 3, the Securities and Exchange Commission (SEC) issued a Risk Alert prepared by its Office of Compliance Inspections and Examinations (OCIE) that summarizes the results of a sweep of more than 100 broker-dealers and investment advisers that OCIE undertook in 2014 in order to assess the...
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...
|Profile Visibility |
|#544 in weekly profile views out of 96,956 lawyers in New York, New York|
|#8,948 in weekly profile views out of 1,673,393 total lawyers Overall|