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Sullivan & Worcester LLP

Sullivan & Worcester LLP

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United States • M&A/corporate and commercial

4

Corporate governance

Sullivan & Worcester LLP is well-versed in advising independent directors, boards of directors, board committees and leaders of for-profit and not-for-profit companies on corporate governance and compliance. The firm assists with internal investigations, crisis and conflict management, board structuring, decision making and regulatory compliance issues. Practice head Nicole Crum specializes in representing boards and board committees as well as financial services in the operation of investment companies, shareholder engagement, compliance and other corporate governance matters. She sits in Washington DC.
Legal 500 Editorial commentary

Testimonials

Collated independently by Legal 500 research team.

  • ‘The team we have at Sullivan & Worcester has served our company for years and knows the management team, staff as well as our board members. They are extremely responsive and proactive and anticipate what weshould be aware of, concerned about, excited about, and how to handle oversight, processes and protocols to ensure we are carrying out our fiduciary duties. The partners are experts in this industry.'

  • ‘Our lead partner, Nicole Crum, who leads the investment industry practice, is exceptional. She demonstrates strong industry knowledge yet is very personable and anticipates what we need to know or what we should consider doing to handle any matter. The team roll up their sleeves and provide recommendations as to how we as a board should handle any matter. Strong service commitment and work ethic!’

  • ‘They have deep knowledge of our industry and always keep the interests of the shareowners in mind.’

  • ‘The team are experts in their field, but also take a practical approach. ’

Key clients

  • Independent Trustees of the Aberdeen Funds
  • Carlyle Secured Lending III Fund
  • Independent Trustees of the John Hancock Funds
  • Hancock GA Mortgage Trust
  • John Hancock Senior Loan Trust
  • Manulife Private Client Credit Fund
  • John Hancock Asset-Based Lending Fund
  • Manulife Private Credit Plus Fund
  • John Hancock Asset-Based Securities Fund
  • 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
  • Professionally Managed Portfolios and their Independent Trustees
  • Corebridge VALIC Retirement Funds and their Independent Directors
  • Ultimus Managers Trust and its Independent Trustees
  • DarioHealth Corp
  • Diversified Healthcare Trust
  • Pluri Inc.
  • The RMR Group Inc.

Work highlights

Advised Independent Trustees of the John Hancock Funds on board governance and meeting their duties and responsibilities under the federal securities law and state law.
Advised Virtus Mutual Funds, Virtus Variable Insurance Trust and Virtus Closed-End Funds on fund reorganizations, sub-adviser changes and disclosure matters.
Advised Diversified Healthcare Trust on securities offerings, disclosure matters, stock exchange listing standards and Sarbanes-Oxley Act and Dodd-Frank Act compliance.
Practice head

Nicole Crum

Other key lawyers

Howard Berkenblit; David Leahy