David C. Sullivan
David focuses his practice on the representation of financial services firms, including open- and close-end registered investment companies, private investment pools, registered investment advisers and broker-dealers. He represents a number of non-U.S. investment advisory firms.
- Represents Allianz Global Investors of America and several of its subsidiaries in a variety of corporate, regulatory and compliance matters.
- Served as lead partner in the organization and initial public offerings of more than 20 closed-end funds sponsored by Allianz and PIMCO and numerous open-end funds in the Allianz family, and in the day-to-day representation of the funds.
- Serves as counsel to the MFS Funds and their Independent Trustees.
- Has represented a number of non-U.S. investment advisers in connection with U.S. registration and regulation and establishment of registered and unregistered products and offerings in the U.S.
- Quoted, “Sub-TA Fee Cap Mentions in SEC Cases Raise Eyebrows,” BoardIQ (June 6, 2017)
- Quoted, “'Clean Shares' Raise Questions, Operational Hurdles for Shops,” Ignites (January 30, 2017)
- Quoted, “SEC Liquidity Rule Could Push Existing Funds Out of Compliance,” Ignites (November 23, 2016)
- Co-author, “Board Duties Baked Into SEC Derivatives Proposal,” BoardIQ (March 22, 2016) (Subscription required)
- Quoted, “The Future Issue: More Rules, More Board Duties by 2020,” BoardIQ (December 15, 2015) (Subscription required)
- Quoted, “Cluster Boards Make Like the Brady Bunch and Consolidate,” BoardIQ (November 17, 2015) (Subscription required)
- Panelist, “How to Communicate the Value of Closed-End Funds: Educating and Marketing to Investors,” Investment Company Institute’s 2016 Closed-End Fund Conference (November 3, 2016)
- Panelist, “The Sec Liquidity Risk Rule Proposals,” Financial Research Associates’ 4th Mutual Fund & ETF Distribution Summit (April 27, 2016)