Biography

Cliff Kirsch began his career at the U.S. Securities and Exchange Commission (SEC), became chief legal officer for one of the country’s largest dually- registered broker-dealer/advisers and then joined Sutherland (now Eversheds Sutherland) in 2006. He relies on his regulatory and in- house background and an up-to-date knowledge of regulatory developments to provide practical and innovative counsel to broker-dealers and investment advisers in the areas of securities regulation and compliance.

With more than 25 years of experience, Cliff regularly counsels clients on the design and distribution of investment products including wrap-fee programs and other advisory products, mutual funds, bank collective investment funds and insurance products. He also focuses on issues related to the design and implementation of compliance programs at financial services firms.

While at the SEC, Cliff received the Manuel F. Cohen Award, which recognizes younger lawyers who have displayed outstanding legal ability, integrity and judgment and he served as assistant director of the SEC's Division of Investment Management.

Cliff is a frequent speaker at industry conferences, and is the author and editor of two of the leading treatises in the broker-dealer and adviser arena: Broker-Dealer Regulation and Investment Adviser Regulation (published by the Practising Law Institute).

Cliff is also co-founder of the Julia Anne Kirsch Foundation, which seeks to serve the needs of disabled individuals and their families.

Experience

Eversheds Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Eversheds Sutherland represents a coalition of major life insurance companies, which collectively account for more than 80% of the annuity business in the United States, in their efforts to affect the direction and details of various SEC, FINRA, CFTC, NAIC and state rule proposals and initiatives.

Eversheds Sutherland serves as outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.  Eversheds Sutherland serves as regular primary outside counsel on broker-dealer and adviser regulatory issues for one of the largest independent broker-dealer networks in the country.

Eversheds Sutherland represents coalition of collective trust fund sponsors, advisers and other service providers.

Eversheds Sutherland serves as counsel to the Coalition of Collective Trust Funds. Among other things, Sutherland monitors and reports on legal and regulatory matters affecting collective trust funds.

Professional Activities

Member, New York City Bar Association

Faculty, FINRA Compliance Institute at The Wharton School of the University of Pennsylvania

Former Chair, FINRA Variable Products Committee

Former Board Member, National Society of Compliance Professionals

Associated Items

43 items
Date
Program or Publication
Format
11/11/2020
Webcast

11/11/2020
Live Program





9/23/2020
Webcast

9/23/2020
Live Program







2/5/2020
Live Program




11/21/2019
Financial Services RegTech and Regulatory Compliance Forum 2019
Course Handbook

11/8/2019
Variable Annuities and Other Insurance Investment Products (Third Edition)
Treatise


10/29/2019
Bank Fiduciary Activities and Collective Investment Funds 2019
Course Handbook


10/18/2019
Securities Law and Practice 2019: How the SEC Works
Course Handbook

9/10/2019
On-Demand

9/9/2019
Global Asset Management 2019
Course Handbook


7/8/2019
Fundamentals of Investment Adviser Regulation 2019
Course Handbook





5/7/2019
Basics of Mutual Funds and Other Registered Investment Companies 2019
Course Handbook


4/2/2019
Fiduciary Investment Advice 2019
Course Handbook


2/6/2019
Dually Registered Broker-Dealers and Advisers—Regulatory, Compliance and Enforcement 2019
Course Handbook


11/16/2018
Mutual Funds and Exchange Traded Funds Regulation (Third Edition)
Treatise

10/25/2018
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition)
Treatise

10/23/2018
Financial Product Fundamentals: Law, Business, Compliance (Second Edition)
Treatise

9/24/2018
Broker-Dealer Regulation (Second Edition)
Treatise

6/20/2018
Variable Annuities and Variable Life Insurance Regulation (Second Edition)
Treatise