Securities & Corporate Governance

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Our attorneys counsel boards of directors, investors, broker-dealers, and issuers on the complexities of securities laws and corporate governance. Capabilities include:

• Advising both sponsors and investors in private placement securities offerings.
• Working with broker-dealers, investment advisers, investment companies, and other regulated securities entities on registration and other regulatory compliance matters.

• Created a conflict-of-interest policy for the board of directors of an international art foundation. 
• Devised and implemented a set of corporate governance practices and protocols for a software company, facilitating its sale to a larger player in the industry.
• Advised a team of trading professionals on the formation of and the successful launch of their fund.