Stephanie Monaco provides strategic counsel to investment management firms (including dually-registered investment advisers and broker-dealers) in their delivery of investment advice to a wide variety of investment advisory clients, including private funds, managed accounts, institutional and retail account services, and registered investment companies. She leverages her prior experience as an attorney with the U.S. Securities and Exchange Commission (SEC), and decades in private practice, to help clients navigate complex regulatory challenges, from business inception, SEC registration, mergers and acquisitions, through the development/refinement of sensible compliance programs, to routine and for cause SEC examinations, as well as SEC enforcement inquiries and actions.During her time at the SEC, Stephanie served in the Division of Investment Management’s Chief Counsel’s Office and the Office of Investment Company Regulation.
Prior to joining Sullivan, Stephanie was a partner in a global law firm in Washington, D.C. Stephanie Monaco provides strategic counsel to investment management firms (including dually-registered investment advisers and broker-dealers) in their delivery of investment advice to a wide variety of investment advisory clients, including private funds, managed accounts, institutional and retail account services, and registered investment companies. She leverages her prior experience as an attorney with the U.S.
Securities and Exchange Commission (SEC), and decades in private practice, to help clients navigate complex regulatory challenges, from business inception, SEC registration, mergers and acquisitions, through the development/refinement of sensible compliance programs, to routine and for cause SEC examinations, as well as SEC enforcement inquiries and actions.During her time at the SEC, Stephanie served in the Division of Investment Management’s Chief Counsel’s Office and the Office of Investment Company Regulation. Prior to joining Sullivan, Stephanie was a partner in a global law firm in Washington, D.C. Stephanie Monaco provides strategic counsel to investment management firms (including dually-registered investment advisers and broker-dealers) in their delivery of investment advice to a wide variety of investment advisory clients, including private funds, managed accounts, institutional and retail account services, and registered investment companies.
She leverages her prior experience as an attorney with the U.S. Securities and Exchange Commission (SEC), and decades in private practice, to help clients navigate complex regulatory challenges, from business inception, SEC registration, mergers and acquisitions, through the development/refinement of sensible compliance programs, to routine and for cause SEC examinations, as well as SEC enforcement inquiries and actions. During her time at the SEC, Stephanie served in the Division of Investment Management’s Chief Counsel’s Office and the Office of Investment Company Regulation.
Prior to joining Sullivan, Stephanie was a partner in a global law firm in Washington, D.C.
