- Financial Services
- Financial Services Litigation
- Business Development Companies
- Investment Adviser
- Mutual Funds
- Securities Enforcement & Litigation
- Cybersecurity & Privacy
|Contact Info||Telephone: 202.383.0197|
|University ||Indiana University of Pennsylvania, B.A.|
|Law School||George Washington University National Law Center, J.D. Order of the Coif|
|Admitted||1984, Virginia; 1988, District of Columbia|
Member, American Bar Association
Member, The Virginia Bar Association
Member, National Society of Compliance Professionals
Member, Association of Life Insurance Counsel
|Born||Warren, New Jersey, June 22, 1956|
With a deep understanding of the financial markets, Susan Krawczyk helps broker-dealers, investment advisers and sponsors to design, sell and deliver investment products and programs that perform for investors and that raise capital. The author of compliance manuals that became models for the industry, Susan has extensive experience in day-to-day regulatory, operational and compliance issues across the retail, institutional and retirement segments of the financial markets.
Susan advises clients regularly on distribution and wholesaling arrangements for both public and private offerings, including incentive, non-cash compensation and marketing support arrangements. Susan has particular experience with firms involved in the sale and distribution of investment products and programs, such as mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs, in the registered investment adviser context (i.e., the “RIA channel”) and retirement plan markets. She works with clients in establishing marketing and selling arrangements for these programs that satisfy regulatory requirements. She also assists clients with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results.
Susan has been closely involved with numerous enterprises in the establishment, restructuring and acquisition of broker-dealer firms, and has handled numerous new member application (NMA) and continuing membership application (CMA or 1017) filings with FINRA to obtain approval of these transactions. She has developed and conducted training programs for all levels in broker-dealer firms, including sales representatives, field supervisors, home office personnel and boards of directors.
Susan represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She also has served on FINRA's Variable Products Committee.
Sutherland counsels on underwriting arrangements for non-traded closed-end fund offering.
Sutherland counsels several different sponsors in restructuring their marketing and sales operations.
Sutherland provides monthly overviews of emerging issues affecting retirement industry.
Awards and Rankings
Recognized by The Legal 500 United States in the area of financial services: regulatory (2015)
Documents by this lawyer on Martindale.com
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...
NASAA M&A Broker Model Rule
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, April 10, 2015
On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain merger and acquisition brokers (M&A Brokers) from state registration...
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...
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