- Recommended by The Legal 500 U.S.(2012-2016, 2018-2023)
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For more than 20 years, Matt’s practice has focused on representing registered investment companies and their independent directors on a broad scope of legal, regulatory, compliance and fund governance matters. He has particular expertise representing the independent directors of all types of investment companies, including mutual funds, exchange-traded funds, interval funds, tender offer funds, listed closed-end funds, and business development companies.
Matt provides guidance on all aspects of the Investment Company Act and Investment Advisers Act and other securities laws and current topics relevant to funds, independent directors, and investment advisers, including with respect to Section 15(c) contract approvals and renewals, oversight of multi-manager and sub-advisory relationships, oversight of affiliated relationships and transactions, disclosure issues, fund governance, ESG matters, cybersecurity, D&O insurance and IDL policies, audit matters, and the launch and reorganizations of funds and fund complexes. He also helps clients develop policies and procedures in connection with new SEC rules and regulations, including with respect to liquidity risk management, derivatives risk management, and fund valuation, as well advise independent directors on their duties and responsibilities related to these new rules.
Matt is known as a loyal adviser to his clients and prides himself on his thoroughness and responsiveness as well as his ability to work well with fund management. Matt’s independent director clients serve on the boards of some of the largest “brand name” mutual fund families in the U.S. Prior to joining to Sullivan, Matt gained valuable, practical in-house experience supporting the registered investment adviser at AIG Investments. He began his investment management career in Paul Hastings’ New York office.
Matt has been highly ranked by Legal 500 for more than a decade. He has also been an industry conference panelist.
*Matt is not admitted to practice in Washington, D.C.
For more than 20 years, Matt’s practice has focused on representing registered investment companies and their independent directors on a broad scope of legal, regulatory, compliance and fund governance matters. He has particular expertise representing the independent directors of all types of investment companies, including mutual funds, exchange-traded funds, interval funds, tender offer funds, listed closed-end funds, and business development companies.
Matt provides guidance on all aspects of the Investment Company Act and Investment Advisers Act and other securities laws and current topics relevant to funds, independent directors, and investment advisers, including with respect to Section 15(c) contract approvals and renewals, oversight of multi-manager and sub-advisory relationships, oversight of affiliated relationships and transactions, disclosure issues, fund governance, ESG matters, cybersecurity, D&O insurance and IDL policies, audit matters, and the launch and reorganizations of funds and fund complexes. He also helps clients develop policies and procedures in connection with new SEC rules and regulations, including with respect to liquidity risk management, derivatives risk management, and fund valuation, as well advise independent directors on their duties and responsibilities related to these new rules.
Matt is known as a loyal adviser to his clients and prides himself on his thoroughness and responsiveness as well as his ability to work well with fund management. Matt’s independent director clients serve on the boards of some of the largest “brand name” mutual fund families in the U.S. Prior to joining to Sullivan, Matt gained valuable, practical in-house experience supporting the registered investment adviser at AIG Investments. He began his investment management career in Paul Hastings’ New York office.
Matt has been highly ranked by Legal 500 for more than a decade. He has also been an industry conference panelist.
*Matt is not admitted to practice in Washington, D.C.
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Hiring a new employee is typically a moment of optimism—and sometimes, the relationship really does go wonderfully for its entire length and ultimately ends on good terms. But when that hope is treated as an assumption, companies make themselves vulnerable. If a client-facing employee does not have a non-solicitation agreement, a business’s customers could be poached. A new employee, hired because of their great industry relationships, might actually have an
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Sullivan & Worcester was featured in Law360 Real Estate Authority's "NYC Real Estate Week In Review," which highlighted the largest New York City real estate transactions recorded during the week. The publication recognized Sullivan's representation of Fattal Hotel Group in its acquisition of the Blakely Hotel, a Manhattan hospitality property located at 136 West 55th Street. The approximately $38.5 million transaction was among the week's largest deals to hit public records.
Simon Cook, in his role as ITFA's Head of Education, will jointly moderate a Q&A on “The next generation: Three emerging leaders, three ideas”, together with Charlie O'Mulloy, chair of ITFA’s Emerging Leader Committee and Associate Banker at EBRD, at ITFA’s 52nd Annual International Trade and Forfaiting Conference in Split, Croatia on September 9. The Q&A will follow the presentations made by the finalists of the 2026 ITFA Emerging Leader
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The U.S. Securities and Exchange Commission (“SEC”) announced on July 7, 2026, the creation of the Retail Fraud Working Group, a new initiative within the Division of Enforcement designed to identify and combat fraud targeting main street investors. The announcement formalizes a priority that SEC Enforcement Director David Woodcock previewed in his May 13, 2026, remarks to the Managed Funds Association Legal & Compliance Conference, reflecting the current Commission’s broader
