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The team at Eversheds Sutherland regularly advises a range of clients on compliance with SEC and FINRA regulations, along with representing firms and individuals in enforcement actions. It is noted for expertise in AI, FinTech, and ESG regulations, with particular experience of SEC and NYDFS's disclosure and reporting requirements. Practice head Brian Rubin, in Washington DC, is instructed by a number of high profile banks, insurance companies, and other financial institutions. Also in DC, Holly Smith leverages experience at the SEC to represent leaders in the broker-dealer distribution network, and Clifford Kirsch, in New York, is a key name in the team.
Legal 500 Editorial commentary
Key clients
- Coalition of circa 70 broker-dealers
- The Financial Services Institute
Work highlights
- Continues to serve as securities counsel for a coalition that includes circa 70 broker-dealers, which is affiliated with the members of the Committee of Annuity Insurers.
- On-going counsel of first choice for multiple broker-dealers on the impact of the SEC’s Regulation Best Interest and Form CRS as well as proposed fiduciary duty regulations that have been published by several states.