The growing corporate governance practice at Sullivan & Worcester LLP does a lot of work with funds but also is active in the healthcare, energy, and biotechnology sectors.  The practice is heavily involved in the governance matters brought forward by John Hancock Insurance funds assisting independent directors and the board with risk management, beneficial cyber security protocols, and the satisfaction of fiduciary duties. Department head Nicole Crum has a wealth of investment management experience and handles the full spectrum of governance matters from the Washington DC office. Boston’s Howard Berkenblit is a capital markets specialist and frequently acts during IPOs and private placements to ensure that clients remain SEC and Sarbanes-Oxley compliant. In DC, David Leahy works predominantly with various investment and insurance funds, focusing on matters relating to the 1933 Securities Act and 1934 Securities Exchange Act. New York’s Dominic Pugliese, DC's David Mahaffey, and John Chilton round out the leadership group.
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Kernmandanten

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  • Carlyle Secured Lending III Fund
  • Independent Trustees of the John Hancock Funds, including John Hancock Variable Insurance Trust, John Hancock Funds II, John Hancock Funds III and John Hancock Closed-End Funds
  • Manulife/John Hancock Funds: Hancock GA Mortgage Trust, John Hancock Senior Loan Trust, Manulife Private Client Credit Fund
  • Manulife/John Hancock Alternatives Funds: John Hancock Asset-Based Lending Fund, Manulife Private Credit Plus Fund, John Hancock Asset-Based Securities Fund
  • Independent Trustees of the Pacific Select Fund and Pacific Funds Series Trust
  • Independent Directors of the Legg Mason Closed-End Funds
  • Independent Trustees of the Virtus Mutual Funds and Virtus Variable Insurance Trust
  • Independent Trustees of the Matthews Asia Funds
  • Advisors Series Trust and their Independent Trustees

Highlight-Mandate

  • Advising Independent Trustees of the John Hancock Funds, which is a fund group of retail and variable insurance open-end funds and closed-end funds sponsored by John Hancock, one of the world’s largest insurance company groups (with 191 funds and $252 billion in assets under management).
  • Advising the Virtus Mutual Funds, Virtus Variable Insurance Trust, and Virtus Closed-End Funds. The Virtus Funds are a group of retail and variable insurance open-end funds and closed-end funds managed by Virtus Investment Advisers, Inc. and its affiliates.
  • Ongoing corporate governance advice to Service Properties Trust (Nasdaq: SVC), a public REIT that owns hotels and travel centers.

Anwält*innen

Praxisleitung

Nicole M. Crum

Weitere Kernanwält*innen

Howard Berkenblit; David Leahy; Dominic Pugliese; David Mahaffey; John Chilton