- Financial Services
- Insurance Products
- Insurance Regulatory and Compliance
- Securities Enforcement & Litigation
- Mutual Funds
- Investment Adviser
- Retirement Products & Services
- Cybersecurity & Privacy
|Contact Info||Telephone: 202.383.0158|
|University ||University of Notre Dame, A.B., summa cum laude Phi Beta Kappa|
|Law School||Yale Law School, J.D. Editor, Yale Law Journal|
|Admitted||1978, District of Columbia|
Member, Board of Governors, Association of Life Insurance Counsel (ALIC)
Co-chair, ALI-CLE Conference on Life Insurance Company Products (1999-Present)
Member, ABA Subcommittee on Securities Activities of Insurance Companies
|Born||Madison, Wisconsin, September 25, 1951|
The leader of Sutherland's Financial Services Practice Group, Steve Roth ensures that financial services clients are operating within the complex and ever-changing regulatory guidelines that shape today's market. Steve advises life insurance companies on the development, marketing and ongoing compliance related to new insurance and annuity products, including registration of variable and fixed life and annuity contracts with the U.S. Securities and Exchange Commission (SEC).
With more than 35 years of experience, Steve has not only seen significant changes in the financial services market, but he also has played a key role in shaping the regulatory landscape to accommodate those changes. He participates in the development and regulation of pooled investment vehicles, including mutual funds, other regulated investment companies and private funds, including serving as counsel to funds and fund trustees. Investment advisers and broker-dealers also seek his counsel on regulatory and compliance issues.
Sutherland counsels life insurance companies on the redesign of registered separate account products.
Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.
Sutherland advises on formation and day to day operations of new mutual fund.
Awards and Rankings
Recognized by The Legal 500 United States in the area of financial services: regulatory (2015); and insurance: non-contentious (2015)
Recognized by Chambers USA: Guide to Leading Business Lawyers in the areas of insurance regulation and investment funds (2008-2015)
Named to The Best Lawyers in America in the area of mutual funds law (2005-2015)
Honorable Jesse E. Eschbach, U.S. District Court - Northern District of Indiana.
Documents by this lawyer on Martindale.com
Update on NAIC and State Regulatory Activity on “Price Optimization”
Eric A. Arnold,Thomas W. Curvin,Stephen E. Roth,Cynthia R. Shoss,Phillip E. Stano, July 24, 2015
Regulatory activity on price optimization appears to be coming to a head. The National Association of Insurance Commissioners (NAIC) Casualty Actuarial and Statistical (C) Task Force is continuing to gather input, with all roads leading toward a significant discussion of the issue at the upcoming...
Price Optimization Update: NAIC Revises White Paper, Florida and Indiana Question Certain Practices
Eric A. Arnold,Thomas W. Curvin,Stephen E. Roth,Cynthia R. Shoss,Phillip E. Stano, May 19, 2015
“Price optimization,” a practice that uses predictive modeling and data analytics in pricing insurance products, continues to draw the attention of state regulators, consumer advocates, and class action plaintiffs. Last week, Indiana and Florida issued statements questioning certain...
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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