FacultyFaculty/Author Profile
Michael B. Koffler

Michael B. Koffler

Eversheds Sutherland (US) LLP

New York, NY, USA


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 Eversheds Sutherland (US) 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.

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)

Professional Activities
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)


Michael B. Koffler is associated with the following items:
Web Segment  Web Segment How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - Fundamentals of Investment Adviser Regulation 2017, Wednesday, June 28, 2017
MP3 Audio  MP3 Audio How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
Transcripts  Transcripts How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty - How Do Investment Advisers Register; The Disclosure Regime; The Advisers’ Fiduciary Duty, Wednesday, June 28, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Investment Adviser Regulation 2017, Thursday, June 29, 2017, New York, NY
Treatise Chapters  Treatise Chapters College Savings Plans - Financial Product Fundamentals: Law, Business, Compliance (2nd Edition), Tuesday, November 14, 2017
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