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Band 3
Provided by Clifford E. Kirsch
A seasoned securities lawyer with more than 25 years of regulatory, corporate counsel and private practice experience, Clifford Kirsch focuses his practice on investment management, where he regularly counsels clients on the comprehensive regulations governing advisers and broker-dealers, bank fiduciaries, pooled investment vehicles (including mutual funds, managed advisory accounts, bank collective investment funds, and retirement and insurance investment products), and the retirement marketplace.
Cliff advises many of the most prominent US dual-registrants (entities that are registered as both advisers and broker-dealers) with respect to the sale and distribution of investment products, compliance and supervisory procedures, and sales practice issues. A former chief legal officer for one of the country’s largest dually registered broker-dealer/advisers, Cliff routinely guides clients through US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities departments in connection with regulatory and examination matters. Cliff also works regularly with the preeminent securities, retirement and insurance industry trade associations, and serves as policy counsel to the Financial Services Institute (FSI), which is the industry trade association for independent broker-dealers.
Cliff began his career at the SEC, rising to the position of Assistant Director at the agency’s Division of Investment Management.
Provided by Chambers
Clifford Kirsch utilizes his previous experience at the SEC to advise broker-dealer and investment adviser clients on a range of issues, such as the impact of the SEC's Regulation Best Interest. He also has notable experience of handling matters involving the FINRA.
Provided by Chambers
"He is a highly respected attorney in this space."
"He is a highly respected attorney in this space."
