Sullivan
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Biography

  • Guides clients through complex and high-risk decision-making, fact-finding concerning potential violations of laws or regulations, conflicts of interests and response to shareholder and stakeholder demands
  • Develops governance protocols
  • Advises boards in connection with annual contract renewal process
  • Conducts internal compliance reviews
  • Advises board and executive management on engagement with the SEC, CFTC and FINRA
  • Advises public companies concerning their status under the Investment Company Act of 1940
  • Represents investment advisers and their principals on acquisitions and sales of investment advisory businesses
  • Represents investment companies and Boards, independent directors and executive leadership in the financial services industry regarding routine and non-routine board issues; risk management, disclosure issues, compliance matters, and the formation, offering and operation of investment companies
  • Represents mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors
  • Represents investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws

Matters

  • Guides clients through complex and high-risk decision-making, fact-finding concerning potential violations of laws or regulations, conflicts of interests and response to shareholder and stakeholder demands
  • Develops governance protocols
  • Advises boards in connection with annual contract renewal process
  • Conducts internal compliance reviews
  • Advises board and executive management on engagement with the SEC, CFTC and FINRA
  • Advises public companies concerning their status under the Investment Company Act of 1940
  • Represents investment advisers and their principals on acquisitions and sales of investment advisory businesses
  • Represents investment companies and Boards, independent directors and executive leadership in the financial services industry regarding routine and non-routine board issues; risk management, disclosure issues, compliance matters, and the formation, offering and operation of investment companies
  • Represents mutual funds, exchange-traded funds, closed-end funds, and business development companies and their independent directors
  • Represents investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws

Matters

Matters