Howard Sullivan
Chief Legal Officer, Manulife Investment Management Private Markets (US), LLC
- Role
- Managing Director & Assistant Chief Counsel, Private Markets at Manulife Wealth & Asset Management
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Howard Sullivan
Experienced chief legal and compliance officer with law firm and in-house expertise in New York and Hong Kong providing transactional, operational, legal and regulatory compliance advice to US and European private investment fund advisers and to US broker-dealers. Extensive start-up experience. Expertise in global fund structuring including private credit funds and CLOs, and establishing foreign investment management subsidiaries. Licensed attorney in New York and qualified solicitor in England & Wales.Specialties: US and EU private fund and CLO transactions, including structuring, formation, marketing and international regulatory compliance, opportunistic credit investing, loan trading, claims trading and private equity investing. Counterparty, technology and vendor contract negotiation and review, corporate governance, emerging markets transactions, structured products, and bankruptcy. Investment Advisers Act, ESG/SFDR, ERISA, BHCA and securities laws, anti-money laundering, FCPA. Asia and EU regional expertise. FINRA Series 7, 24 and 63 licensed. Experienced as management company director and fund director authorized and regulated by Irish Central Bank. Proficient in Mandarin Chinese.Previously served as an attorney with US law firms in New York, Hong Kong and Shanghai.
Experience
Managing Director & Assistant Chief Counsel, Private Markets
Manulife Wealth & Asset Management
Jan 2021 — Present
Chief Legal Officer, Manulife Investment Management Private Markets (US), LLC
Education
The London School of Economics and Political Science (LSE)
LL.M., International Business Law
University of Pennsylvania
Mandarin Chinese
Villanova University Charles Widger School of Law
JD, Law
Amherst College
BA cum laude, Double Major: Asian Studies and Political Science
Skills
- Emerging Markets
- Operations Management
- Financial Transactions
- Alternative Investments
- Private Equity
- Aml
- Loans
- Regulatory Compliance
- Derivatives
- Legal Services
- Structured Finance
- Due Diligence
- Hedge Funds
- Bankruptcy
- Corporate Governance
- Investments
- Equities
- Fixed Income
- Structured Products
- Asset Management
- Financial Structuring
- Investment Management
- Clo Risk Retention
- Fund of Funds
- Capital Markets
- Securities Regulation
- Securities
- Finra
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