- Financial Services
- Financial Services Litigation
- Securities Enforcement & Litigation
- Investment Adviser
- Mutual Funds
|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). 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.
Documents by this lawyer on Martindale.com
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...
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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