John H. Walsh

John H. Walsh: Attorney with Eversheds Sutherland (US) LLP
  • Partner at Eversheds Sutherland (US) LLP (436 Attorneys)
  • 700 Sixth Street NW, Suite 700, Washington, DC 20001-3980
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Biography

A 23-year veteran of the Securities and Exchange Commission (SEC), John Walsh joined Eversheds Sutherland (US) in October 2011. With his deep, insider’s experience and perspective of the SEC, John now represents broker-dealers, hedge funds, investment advisers and other securities firms in compliance and regulatory issues involving the agency. He counsels clients on the full spectrum of securities issues from development and compliance to cooperation in examinations and defense in enforcement proceedings.

At the SEC, John played a key role in creating the Office of Compliance Inspections and Examinations (OCIE), which administers examinations of U.S. registered securities entities. He designed and implemented the SEC’s securities compliance examination practices, first as a senior advisor for compliance policy and then, most recently, as associate director-chief counsel. In 2009, he served as OCIE’s acting director and led a massive retraining of examination staff on antifraud techniques.

Prior to his tenure at OCIE, John was special counsel to former SEC Chairman Arthur Levitt from 1993 to 1995. From 1990 to 1993, he worked in the SEC Division of Enforcement, serving first as senior counsel and then as chief of the branch of regional office assistance, where he regularly appeared before the Commission’s closed meetings to present and discuss regional office enforcement cases. He also advised the commissioners and staff on securities laws and agency policy. John began his career with the SEC in 1988 as an attorney in the Office of General Counsel.

Selected Experience

Served client compliance committees.
Helped a client when whistleblower tip prompts an SEC inquiry.
Managed a potential compliance crisis.

Awards and Rankings

Recognized by The Legal 500 United States in the area of financial services: regulatory (2018)

Recipient, SEC Law and Policy Award (2010-2011)

Recipient, SEC Examination Award of Excellence (2000)

Recipient, SEC Regulatory Simplification Award (1996)

Publications

“As the line between compliance and enforcement increasingly blurs, I hope to use my knowledge to help counsel clients on some of their most critical matters and help them navigate today’s new regulatory and compliance hurdles.”

Legal Alerts

Legal Alert: Proposed Regulation BI coverage of retirement investors (March 5, 2019)
There is some debate about the intended scope of proposed Regulation BI (Best Interest) coverage in the case of retirement investors.The SEC explicitly contemplated that the proposal would be ...

Legal Alert: The best interest standard under FINRA’s suitability rule (February 26, 2019)
In connection with the US Securities and Exchange Commission’s proposed Regulation Best Interest, the Financial Industry Regulatory Authority (FINRA) has asserted (with some case law support from the ...

Legal Alert: Broker-dealers selling annuities - preparing for the best interest standard under New York’s amended Insurance Regulation 187 (February 14, 2019)
Broker-dealers selling annuity products in New York will soon need to comply with New York's recently amended Insurance Regulation 187 ( Suitability and Best Interests in Life Insurance and Annuity ...

Legal Alert: FINRA’s 529 plan share class initiative (February 7, 2019)
On January 28, 2019, the Financial Industry Regulatory Authority, Inc. (FINRA) launched its 529 Plan Share Class Initiative (the Initiative) to encourage member firms to self-report potential ...

Legal Alert: The SEC’s litigation against a firm for allegedly inadequate disclosure of shareholder service fees and 12b-1 fees (January 28, 2019)
During the past several years, the US Securities and Exchange Commission (SEC) has settled more than a dozen cases where the SEC alleged (with the firms neither admitting nor denying the charges) ...

Legal Alert: The far reach of state law - Nevada proposes fiduciary duty regulations for broker-dealers and investment advisers (January 28, 2019)
Under Nevada law, financial planners owe a fiduciary duty to their clients.1 In accordance with this duty, a financial planner must disclose, at the time advice is given, any gain the financial ...

Legal Alert: The other shoe has dropped - The SEC follows up with firms that didn’t self-report under the share class initiative (December 12, 2018)
The Share Class InitiativeOn February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative ...

Legal Alert: Standards of conduct for investment professionals - overlapping protections for broker-dealer retirement customers (October 15, 2018)
The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were among those most affected by the promulgation in ...

Legal Alert: The SEC’s proposed rules on the standards of conduct for investment professionals-a quick guide to what you need to know (April 26, 2018)
On April 18, in a 4-1 vote, the United States Securities and Exchange Commission (the SEC) proposed a comprehensive rule set governing the standards of conduct applicable to broker-dealers and ...

Legal Alert: The SEC wants companies to talk about cybersecurity (March 8, 2018)
On February 21, 2018, the Securities and Exchange Commission issued an interpretive release1 providing important guidance to certain registrants on cybersecurity disclosure. Coming on the heels of ...

Articles

Big Data and Regulation, Part 2: Legal and Compliance (June 20, 2014)
Corporate Counsel
Last month in this column, we talked about the increasing importance of big data analytics in regulation, with a particular focus on the U.S. Security and Exchange Commission’s examination program. ...

What to Expect from SEC, FINRA Cybersecurity Enforcement (May 5, 2014)
Law360
Recent high-profile data breaches at national retailers have made cybersecurity a frequent topic on Capitol Hill and an issue of growing concern to average Americans. Not surprisingly, securities ...

Should Regulation Be Privatized? (November 4, 2013)
Corporate Counsel
In “Should Regulation Be Privatized?” published by Corporate Counsel, Sutherland partner John Walsh discusses the United States’ options to protect the regulatory system from the uncertainties of ...

SEC Examinations: What is the Strategy (September 10, 2013)
Corporate Counsel
In “SEC Examinations: What is the Strategy” Sutherland partner John Walsh explores the evolving Securities and Exchange Commission examination policies under chair Mary Jo White. He explains that she ...

Compliance Needs Performance Standards and Credentials (August 6, 2013)
Corporate Counsel
With a growing body of knowledge documenting that highly ethical organizations are also high performing, enlightened business leaders are driving a new and ongoing convergence between ethics and ...

The Convergence of Ethics and Compliance (July 9, 2013)
Corporate Counsel
In “The Convergence of Ethics and Compliance,” published in Corporate Counsel, Sutherland partner John Walsh explains to compliance professionals how to fix something before it breaks by creating a ...

An Open Letter to SEC Chair Mary Jo White (June 12, 2013)
Corporate Counsel
In his latest column for Corporate Counsel magazine, Sutherland Partner and SEC alum John H. Walsh offers advice to the new SEC Chair. Having served more than two decades in a variety of SEC offices ...

Self-Reporting Suspicious Money Laundering Activity (May 1, 2013)
Corporate Counsel
With greater anti-money laundering oversight clearly on the horizon, legal and compliance staff at broker-dealers may wish to begin reviewing their AML policies, paying special attention to the most ...

Regarding Regulation: Critiquing Your AML Compliance Program (April 1, 2013)
Corporate Counsel
As key regulators like FinCEN, the SEC and FINRA actively promote enhanced anti-money laundering (AML) initiatives, in-house compliance officers must evaluate their own compliance procedures against ...

The Sensitive Question of When to Self-Report a Possible SEC Violation (February 1, 2013)
Corporate Counsel
In “The Sensitive Question of When to Self-Report a Possible SEC Violation,” published in Corporate Counsel, Sutherland partner John Walsh explains to in-house counsel and compliance professionals ...

Presentations

“Criticism and self-criticism have become so engrained in our regulatory environment that they hardly draw any notice-regulated entities seeking recognition of their right conduct should expect to receive criticism and should be ready to engage in self-criticism. Nonetheless, the SEC’s program of paying informants places new demands on legal and compliance professionals, and we must help our clients rise to the challenge.”

Presentations

Compliance Risk Assessments (March 26, 2019)
SIFMA C&L Annual Seminar
Eversheds Sutherland Partner John Walsh presents “Compliance Risk Assessments” at the SIFMA C&L Annual Seminar on March 26, 2019, in Phoenix, Arizona.

Webcast - Advisers Act Regulatory Series: 2019 First Quarter Update (March 19, 2019)
Join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, John Walsh, Issa Hanna, Ben Marzouk and Bria Adams and Eversheds Sutherland (International) attorney Hannah Jones for the ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018 (October 9, 2018)
PLI
Eversheds Sutherland (US) Partner John Walsh presents on the SEC Inspections and Examinations of Private Hedge and Equity Funds panel at the PLI Hedge Fund and Private Equity Enforcement & ...

Webcast: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers (May 8, 2018)
The US Securities and Exchange Commission (SEC) has proposed its comprehensive standard of conduct rules, forms and interpretation, which would:Require registered investment advisers and ...

Hedge Fund and Private Equity Enforcement & Regulatory Developments (November 30, 2017)
PLI
Eversheds Sutherland (US) Partner John Walsh presents at PLI's Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, on November 30, 2017 in New York, New York.

SIFMA Compliance & Legal Society 2017 Annual Seminar (March 19-22, 2017)
Sutherland Partners Olga Greenberg, Susan Krawczyk and John Walsh present at the SIFMA Compliance & Legal Society 2017 Annual Seminar on March 19-22, 2017, in San Diego, California. Topics ...

SEC Exams: How an Increase in Examiners Could Impact You (November 18, 2016)
IA Watch
Sutherland Partner John Walsh presents SEC Exams: How an Increase in Examiners Could Impact You at IA Watch’s “Financial Services Industry Change: The Presidential Election and Coming Regulatory ...

Investor Protection in the Fintech Era (November 14, 2016)
SEC Fintech Forum
Sutherland Partner John Walsh presents Investor Protection in the Fintech Era at the SEC Fintech Forum on November 14, 2016, in Washington, DC.

Managing Advisors’ Compliance Risk in the New Regulatory Environment (October 26, 2016)
IMPACT 2016
Sutherland Partner John Walsh presents Managing Advisors’ Compliance Risk in the New Regulatory Environment at the IMPACT 2016 conference on October 26, 2016, in San Diego, California. Topics ...

2016 NSCP National Conference (October 17-19, 2016)
Join Sutherland Partners Brian Rubin, Holly Smith and John Walsh at the 2016 National Society of Compliance Professionals (NSCP) National Conference on October 17-19, 2016, in Washington, DC. Their ...

News

In the News

OCIE Data Requests Increasing (December 11, 2017)
Compliance Reporter
Eversheds Sutherland Partner John Walsh is featured in this Compliance Reporter article regarding the US Securities and Exchange Commission (SEC) upping its pressure on compliance officers to keep ...

SEC Taking ‘Close Look’ at JOBS-Act-Related Offerings, Particularly Crowdfunding (February 29, 2016)
ThinkAdvisor
Sutherland Partner John Walsh is quoted in this ThinkAdvisor article regarding the U.S. Securities and Exchange Commission’s plan to pay closer attention to crowdfunding-related initiatives under the ...

Cybersecurity: Recent Conference Perspective (August 3, 2015)
Currin Compliance Services, Inc.
Sutherland Partner John Walsh is mentioned in this Currin Compliance Services, Inc. article regarding his presentation at the 2015 Compliance & Legal Sections Annual Meeting titled, “Cybersecurity.”

SEC Examiners to Beef Up Analytical Tools (November 25, 2014)
Compliance Intelligence
Partner John Walsh is quoted in a Compliance Intelligence article regarding the U.S. Securities and Exchange Commission’s plans to increase its use of analytical tools to detect possible violations ...

As Regulators Tap into Big Data, Advisers Need to Up Compliance Attention (November 6, 2014)
Investment News
Partner John Walsh is quoted in an Investment News article regarding the impact of big data on compliance and SEC investigations. “The Securities and Exchange Commission is examining much larger ...

CCOs Advised on Whistle-blower Retaliation (October 27, 2014)
Compliance Intelligence
Partner John Walsh is quoted in a Compliance Intelligence article regarding how Chief Compliance Officer's should exercise caution when handling internal whistle-blowers following SEC’s first ...

Cybersecurity: What the Regulators May Do (May 27, 2014)
ThinkAdvisor
Sutherland’s legal alert, Cybersecurity Issues in the Financial Services Industry: Fasten your cyber belts, it’s going to be a bumpy night, was featured in the ThinkAdvisor article, “Cybersecurity: ...

Cybersecurity Crackdown (May 27, 2014)
ThinkAdvisor
Sutherland's legal alert, Cybersecurity Issues in the Financial Services Industry: Fasten your cyber belts, it’s going to be a bumpy night, was referenced in the ThinkAdvisor article, ...

SEC Exams: Industry Attorneys See Beefed Up Scrutiny (May 21, 2014)
Compliance Intelligence
Partner John Walsh was quoted in a Compliance Intelligence article regarding the SEC’s new inspection initiatives and how chief compliance officers should become more attentive and prepare for a ...

Ex-SEC Officials Criticize Agency's 'Broken Windows' Policy (May 19, 2014)
Compliance Intelligence
Partner John Walsh was quoted in a Compliance Intelligence article regarding how former SEC officials criticized that the agency’s broken windows policy, which focuses on minor violations of ...

Press Releases

18 Eversheds Sutherland Practice Areas, 68 Attorneys Named Among Nation’s Best in 2018 Legal 500 United States (May 30, 2018)
Eversheds Sutherland (US) LLP is pleased to announce that 18 practice areas and 68 attorneys have been recognized in the 2018 edition of The Legal 500 United States, a comprehensive survey of legal ...

Sutherland Partner John Walsh Elected to the American Law Institute (January 10, 2017)
Sutherland Asbill & Brennan LLP is pleased to announce that Partner John H. Walsh has been elected as a member of the prestigious American Law Institute (ALI). He was nominated by current members of ...

Multimedia

Webcast - Advisers Act Regulatory Series: 2019 First Quarter Update (March 19, 2019)
Join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, John Walsh, Issa Hanna, Ben Marzouk and Bria Adams and Eversheds Sutherland (International) attorney Hannah Jones for the ...

Webcast: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers (May 8, 2018)
The US Securities and Exchange Commission (SEC) has proposed its comprehensive standard of conduct rules, forms and interpretation, which would:Require registered investment advisers and ...

Podcast: SEC Exams: What to Expect in the Broken Windows Era (March 20, 2015)
Ongoing regulatory scrutiny of business development companies (BDCs) and their investment advisers requires that BDC management teams be ready for the U.S. Securities & Exchange Commission’s Office ...

Webcast: Hot Topics Compliance Private Fund Advisers Annual Review Webcast (February 12, 2013)
Please join Sutherland's Private Funds team for a webcast regarding hot topics in compliance focusing on the first mandatory annual compliance review for newly registered private fund advisers. This ...

Podcast: Private Fund Adviser Compliance: What You Should Know Before Your First SEC Exam (April 4, 2012)
The deadline of March 30 is quickly approaching for many private fund advisers to register as investment advisers with the U.S. Securities and Exchange Commission (SEC). It is expected that a ...

Podcast: BDC Quick Call (November 2, 2011)
On Wednesday, November 2, 2011, Sutherland's BDC and Alternative Assets Practice Team hosted a Quick Call BDC Compliance: Understanding the Regulatory Perspective. They were joined by John H. ...

Areas of Practice (7)

  • Financial Services
  • Securities Enforcement & Litigation
  • Cybersecurity & Privacy
  • Insurance
  • Private Investment Funds
  • Mutual Funds
  • Investment Adviser

Education & Credentials

Contact Information:
202.383.0818  Phone
www.eversheds-sutherland.com
University Attended:
Worcester State University, B.A., summa cum laude; Northeastern University, M.A.; Boston College, Ph.D.
Law School Attended:
Georgetown University Law Center, J.D., Editor, American Criminal Law Review
Year of First Admission:
1985
Admission:
1988, District of Columbia; 1985, New York
Memberships:

Professional Activities

Member, American Law Institute

Birth Information:
Cleveland, Ohio, August 23, 1952
ISLN:
902978377

Peer Reviews

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*Peer Reviews provided before April 15, 2008 are not displayed.

Documents (3)

Documents by this lawyer on Martindale.com

Washington, District of Columbia

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