Michael B. Koffler

• Represented Empower in its acquisition of MassMutual’s retirement services business for a total transaction value of $3.35 billion.
• Represented Empower in its acquisition of Prudential's retirement plan business for a total transaction value of $3.55 billion.

• Advisers Act Regulatory Update Series, June 17, 2021
• Dual Registrant Regulatory Summit: Standard of Conduct – Where do we go from here?, April 20, 2021
• Asset Management Regulatory Update Series, April 1, 2021
• Advisers Act Regulatory Series: 2021 First Quarter Update, March 11, 2021
• The SEC’s overhaul of the investment adviser advertising and solicitation rules: Your questions answered, March 5, 2021
• The SEC’s overhaul of the investment adviser advertising and solicitation rules: The impact on private fund advisers, February 10, 2021
• The SEC’s overhaul of the investment adviser advertising and solicitation rules: Solicitor relationships, February 3, 2021
• The SEC’s overhaul of the investment adviser advertising and solicitation rules: The new regulatory regime governing investment adviser performance presentations, January 20, 2021
• The SEC’s overhaul of the investment adviser advertising and solicitation rules: Overview of the rule amendments, January 13, 2021
• Advisers Act Regulatory Series: 2020 Fourth Quarter Update, December 10, 2020
• Asset Management Regulatory Update Series, October 22, 2020
• ESG investing for asset managers - Portfolio Management Perspective, June 16, 2020
• ESG investing for asset managers - The Legal Framework, June 9, 2020
• Advisers Act Regulatory Series: 2020 First Quarter Update, March 11, 2020
• Vendor Due Diligence: One Approach Does Not Fit All, March 5, 2020, 2020 IAA Investment Adviser Compliance Conference
• Advisers Act Regulatory Series: 2019 Fourth Quarter Update, December 12, 2019
• Regulation Best Interest – Enforcement and Litigation Risks, November 20, 2019, Envestnet
• Hat switching, special challenges for dual registrants and documenting investment advice provided as an investment adviser, October 29, 2019, Envestnet
• Reg BI and Related Regulations, October 29, 2019, Envestnet Alliance Executive Summit
• Advisers Act Regulatory Series: 2019 Third Quarter Update, September 26, 2019
• Regulation Best Interest, Form CRS and Interpretive Guidance under the Advisers Act, September 25, 2019, Envestnet
• The CFP Board’s new standards of conduct – important considerations for broker-dealers and investment advisers, July 24, 2019
• NSCP Webcast: Reg BI: What Does it Mean for Compliance?, June 28, 2019, The National Society of Compliance Professionals (NSCP)
• Dual registrants roundtable: Working through the SEC's new standard of conduct rules, June 27, 2019
• Advisers Act Regulatory Series: 2019 Second Quarter Update, June 20, 2019
• Briefing call: New SEC rule set on financial professional standard of conduct and fiduciary duty, June 7, 2019
• Advisers Act Regulatory Series: 2019 First Quarter Update, March 19, 2019
• Planning for a patchwork of best interest standards – recent developments, February 27, 2019
• SEC Enforcement, Investigations and Actions Related to Share Class and Revenue Share Disclosures, January 4, 2019, RegEd
• SEC Enforcement Begins Inquiries on 12b-1 Fees and Revenue Sharing Arrangements, December 17, 2018, Investment Adviser Association (IAA)
• Webcast – Advisers Act Regulatory Series: 2018 Fourth Quarter Update, December 6, 2018
• Webcast: Planning for a patchwork of best interest standards, November 15, 2018
• Managing Dual Registrant Requirements in a Demanding Regulatory Environment, October 31, 2018, National Association of Compliance Professionals National Conference
• IAA Fall Compliance Workshop, October 10, 2018, Investment Advisor Association (IAA) Fall Compliance Workshop
• Webcast – Advisers Act Regulatory Series: 2018 Third Quarter Update, September 13, 2018
• Webcast – Advisers Act Regulatory Series: 2018 Second Quarter Update, May 24, 2018
• Roundtable discussion: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers, May 16, 2018
• Roundtable discussion: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers, May 15, 2018
• FSI Webcast: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers, May 10, 2018, Financial Services Institute (FSI)
• NSCP Webcast: The SEC’s Proposed Standard of Conduct Rules and Forms for Broker-Dealers and Investment Advisers, May 9, 2018, National Society of Compliance Professionals
• Roundtable discussion: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers, May 9, 2018
• Webcast: The SEC’s proposed fiduciary duty and standards of conduct for broker-dealers and investment advisers, May 8, 2018
• BISA Webcast: SEC Fiduciary Rule Proposal, April 24, 2018, Bank Insurance and Securities Association
• Webcast – Advisers Act Regulatory Series: 2018 First Quarter Update, February 15, 2018
• Webcast – Advisers Act Regulatory Series: Fourth Quarter Update, December 7, 2017
• Webcast - Advisers Act Regulatory Series: Third Quarter Update, September 14, 2017
• Fundamentals of Investment Adviser Regulation 2017, June 26, 2017, Practising Law Institute
• The Risks and Challenges of Multi-Branch Advisers, May 4, 2017, Adviser Compliance Associates
• Webcast – Advisers Act Regulatory Series: Second Quarter Update, April 27, 2017
• Ethics for Advisers, March 3, 2017, IAA Investment Adviser Compliance Conference
• Webcast: Advisers Act Regulatory Developments: A Look at the Year Ahead, January 26, 2017
• Broker-Dealer Investment Adviser CLE Program, November 28, 2016
• FSI Forum: Navigating a Post-DOL Fiduciary World, September 25-27, 2016, FSI Forum
• Broker-Dealer Conflicts Disclosures: What’s Coming and How to Prepare, December 18, 2012, BD Week Webinar
• Current Issues Facing Private Equity Funds that are Registered Investment Advisors, October 30, 2012, Philadelphia Bar Association Private Equity and Venture Capital Committee CLE Program
• Private Fund Issues, October 11, 2012, Investment Adviser Association’s Compliance Workshop
• How You Can Start Preparing for the New Fiduciary Duty Standard That’s Bound to Come, April 16, 2011, BD Week Webinar
• Fiduciary Duty Forum, July 28, 2010
• Exploring the Fiduciary Opportunity, July 27, 2010, Envestnet Webinar
• The Changing Face of Fiduciary Responsibility, March 17, 2010, Envestnet Webinar
• The New Financial Regulatory Environment and its Market Impacts, October 28, 2009, CFA Society of Atlanta, Inc.
• PLI’s Fundamentals of Investment Adviser Regulation 2009, July 17, 2009
• Due Diligence Steps to Protect Your Firm’s Reputation and Manage Legal Risks, April 21, 2009, Webinar
• American Law Institute–American Bar Association (ALI-ABA) Course on Investment Adviser Regulation, January 15, 2009 - January 16, 2009
• Sutherland Securities Symposium, July 31, 2008
• ABCs of Investment Adviser Regulation 2008, May 9, 2008, Practising Law Institute
• American Law Institute-American Bar Association Investment Adviser Regulation Conference, January 2007
• ABCs of Investment Adviser Regulation, November 17, 2006, Practising Law Institute

Recipient, 2010 Burton Awards for Legal Achievement for “Six Degrees of Separation: Principles to Guide The Regulation of Broker-Dealers and Investment Advisers,” BNA’s Securities Regulation & Law Report (April 27, 2009)

Member, New York State Bar Association
Member, New York City Bar Association

Member, District of Columbia Bar Association

Member, Maryland State Bar Association

Member, FINRA Corporate Financing Rules, Hedge Funds, Investment Companies and Investment Advisers, and Trading and Markets Subcommittees, Federal Regulation of Securities Committee, and Member, Private Equity and Venture Capital Committee, Business Law Section, American Bar Association (ABA)