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Susan S. Krawczyk

Of Counsel

Susan helps broker-dealers, investment advisers, insurance organizations and sponsors to design, sell, and deliver investment products and programs that perform for investors and raise capital. 

The author of compliance manuals that became models for the industry, Susan has extensive experience in day-to-day regulatory, operational, and compliance issues across the retail, institutional, and retirement segments of the financial markets.

She advises clients regularly on distribution and wholesaling arrangements for both public and private offerings, including incentive, non-cash compensation and marketing support arrangements. Susan has particular experience with firms involved in the sale and distribution of investment products and programs in the registered investment adviser context (i.e., the RIA channel) and retirement plan markets. She has a deep familiarity with the distribution of mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs, and the use of financial planning tools and asset allocation models for retail investors. Susan assists clients in establishing marketing arrangements for programs that satisfy regulatory requirements, and with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results.

  • Represented Nassau Financial Group in an agreement to acquire Foresters Life Insurance and Annuity Company.
  • Represented Nationwide Mutual Insurance Company on its acquisition of Jefferson National Financial Corporation and its subsidiaries
  • Reg BI and Related Regulations, October 29, 2019, Envestnet Alliance Executive Summit
  • Hat switching, special challenges for dual registrants and documenting investment advice provided as an investment adviser, October 29, 2019, Envestnet
  • Reg BI: Implementation of the Final Rule, September 10, 2019, FSI Forum & Capitol Hill Day
  • Fundamentals of Broker-Dealer Regulation 2019, July 22, 2019, Practising Law Institute
  • FSI Webcast: The SEC’s New Standard of Conduct Rules – Important Considerations for Independent Financial Services Firms, July 18, 2019, Financial Services Institute
  • Dual registrants roundtable: Working through the SEC's new standard of conduct rules, June 27, 2019
  • Expense Sharing Agreements, May 13, 2019, FSI Supervision Workshop
  • Getting Down to Business: Recent Enforcement Action in IBD Supervision & What They Mean for Business, May 13, 2019, FSI Supervision Workshop
  • Webcast: Regulation 187 – Suitability and Best Interests in Life Insurance and Annuity Transactions, February 28, 2019, LICONY
  • Looking Ahead to Best Interest Standards for Life and Annuity Sales – Part 2: Best Interest Standards on the Horizon, February 20, 2019, LIMRA
  • Making the Shift from the Department of Labor’s Fiduciary Rule to SEC Regulation Best Interest, January 29, 2019, FSI OneVoice Conference
  • Looking Ahead to Best Interest Standards for Life and Annuity Sales – Part 1: New York’s Insurance Regulation 187, January 15, 2019, LIMRA
  • Recognized by The Legal 500 United States in the area of financial services: regulatory (2015-2017) 
  • Member, American Bar Association
  • Member, The Virginia Bar Association
  • Member, Association of Life Insurance Counsel
  • District of Columbia
  • Virginia
  • J.D., George Washington University National Law Center,

    Order of the Coif

  • B.A., Indiana University of Pennsylvania
Susan Krawczyk

Of Counsel

Susan Krawczyk

Of Counsel

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