Michael Sullivan

Mike is a Principal in the Financial Services Regulatory and Compliance Risk practice focused on Capital Markets Compliance. Mike has deep expertise and a unique perspective in financial services regulatory and compliance considerations, with over two decades of diverse industry experience working for or advising regulators, self-regulatory organizations, broker-dealers, investment advisers, banks, securities and futures exchanges, investment companies, credit rating agencies, and other financial services firms. His work covers compliance and supervisory matters, governance, and risk and control frameworks. Mike’s clients include broker-dealers, investment advisers, banks, national securities exchanges, credit-rating agencies, fintech companies, and public companies.