Registered Funds

About

Provided by Sullivan & Worcester

Sullivan lawyers have provided legal advice to registered fund complexes, large and small. Today, we are counsel to the funds and/or independent trustees of more than 30 fund boards or groups responsible for more than $900 billion in assets under management. And while we have represented some of the largest mutual fund complexes, with our focus on partner-client interaction, we are especially well positioned to help mutual fund complexes with managed assets up to $100 billion.

We have represented mutual funds in a variety of matters, such as formation and registration, corporate governance, compliance, risk management, and mergers and acquisitions. We are experienced in helping clients to bring alternative investment strategies to the registered fund market, including hedge fund-, commodity fund-, and derivative-based strategies. We have helped clients develop composite indices tracking alternative assets and incorporate them into passively managed exchange-traded funds (ETFs). We also regularly assist clients to create fund and share class structures to satisfy multiple distribution channels. We regularly advise clients on compliance matters, including privacy and cybersecurity, and reporting, custody, trading, and valuation matters relating to alternative asset classes in addition to traditional debt and equity.