Sullivan
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Biography

  • Created a multiple series trust for exchange traded funds and works regularly with clients on creating new ETFs, negotiating authorized participant agreements, exchange listing and SEC registration
  • Serves as independent trustee counsel for a number of large complexes, some with dedicated international focus and other multi-manager complexes with a broad array of geographical focus and diverse investment strategies
  • Serves as Trust counsel and Board counsel to a number of multiple series trusts, providing the full range of services from fund registrations, mutual fund to ETF conversions, proxies, compliance support, and development of policies and procedures, such as the liquidity risk management program; also helps clients navigate difficult issues relevant to smaller advisers, such as distribution and expense management
  • Works closely with clients in addressing new requirements in a manner that is least disruptive to the business of the fund while still achieving the goals of the rule when new rules and regulations are enacted; also establishing liquidity risk management programs with clients and working on new derivative and valuation rule requirements

Matters

  • Created a multiple series trust for exchange traded funds and works regularly with clients on creating new ETFs, negotiating authorized participant agreements, exchange listing and SEC registration
  • Serves as independent trustee counsel for a number of large complexes, some with dedicated international focus and other multi-manager complexes with a broad array of geographical focus and diverse investment strategies
  • Serves as Trust counsel and Board counsel to a number of multiple series trusts, providing the full range of services from fund registrations, mutual fund to ETF conversions, proxies, compliance support, and development of policies and procedures, such as the liquidity risk management program; also helps clients navigate difficult issues relevant to smaller advisers, such as distribution and expense management
  • Works closely with clients in addressing new requirements in a manner that is least disruptive to the business of the fund while still achieving the goals of the rule when new rules and regulations are enacted; also establishing liquidity risk management programs with clients and working on new derivative and valuation rule requirements

Matters