Legal Perspectives on Current Regulatory Developments for BDs and IAs

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SEC Enforcement Results for FY 2016

October 11, 2016 Clifford E. Kirsch Leave a comment

Enforcement Results for 2016

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Clifford E. Kirsch, Editor

Eversheds Sutherland

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.

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