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  companies as well as investors in private placement securities offerings.  This includes advising on federal (non-public offerings and Regulation D offerings) and state securities disclosure and filing requirements.  
  • Counseling boards of directors on  corporate governance matters including governance best practices, executive compensation, fiduciary duties/disclosures, shareholder relations, management succession plans, and global subsidiary compliance. 
  • Working with broker/dealers, investment advisers, investment companies, and other regulated securities entities on registration and other regulatory compliance matters.
  • Provide representation in proceedings before the SEC, FINRA, and other federal and state regulatory authorities.

• Created a conflicts-of-interest policy for the board of directors of an international art foundation. The implementation of sound and thorough corporate governance policies helped in enabling the foundation to attract top board talent.
• 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.
• Worked with a multinational provider of telecom services on bringing each of its US and non-US subsidiaries into compliance with local rules and regulations as well as international corporate governance best practices. 
• Advised a team of trading professionals on the formation of and the successful launch of their fund.