Sullivan
Microsoft has discontinued support for Internet Explorer. To access the Sullivan website, please install a modern browser like Microsoft Edge or Google Chrome.

Biography

Albert is a paralegal in the Investment Management Group in Sullivan & Worcester’s Washington, DC office. Since joining the firm in 2008, Albert has provided assistance that ranges from general research (Lexis, Securities Mosaic, CCH Interactive), to the following:

  • Preparation of draft agreements (Investment Sub-Advisory, Expense Limitation,
    Distribution, etc.) and amendments related to such agreements
  • Preparation of draft legal opinion letters
  • Assisting in  preparation and review of various SEC filings (485BPOS; 485BXT; N-14; 497; etc.)
  • Substantial contributions to the annual 15(c) process, including preparation of charts and
    summaries for fund boards
  • Revision and review of Board disclosures pertaining to Investment Advisory/Sub-advisory
    Agreement approvals
  • Preparation of Compensation memos and Independence memos for various Group clients
  • Drafting and reviewing of documents related to foreign account openings in various countries
    for multiple Group clients
  • Drafting and handling audit response letters for the Group’s clients

In addition to reviewing certain portions of the Statements of Additional Information as well as the Prospectuses of previous and current clients, Albert has also assisted in drafting some of the parts of the Statements of Additional Information, as needed.