Securities & Corporate Governance
Our corporate governance attorneys advise on the complete range of issues management and directors face in a complex governance environment marked by a recent uptick in lawsuits challenging board oversight. We work with key decision-makers to identify and manage risks; develop compliance programs to address changes in the law and regulatory climate; and institute corporate policies, codes of conduct and business ethics that are above reproach. We also advise public companies on the compliance aspects of securities laws under the Dodd-Frank Act, the Sarbanes-Oxley Act and related governance rules adopted by the SEC and stock exchanges.
Our team works collaboratively with in-house personnel and outside auditors and advisors, playing a critical role in the preparation of periodic reports, proxy statements and market communications necessary to satisfy our clients’ disclosure obligations. In addition, we provide counsel on complex fiduciary duty issues related to director independence, potential conflicts of interest and other situations where the interests of executives, directors, affiliated parties and shareholders may diverge.
We pride ourselves on providing effective and attentive representation. For us, this means keeping clients fully apprised of best practices in corporate governance, along with any changes at the policy level that might adversely impact their bottom line. Most important, we have the experience and foresight to help clients avoid the pitfalls that might otherwise jeopardize a transaction or result in personal exposure for decision-makers.
Service Area Contacts
Kentucky’s Racing Taxes Under Scrutiny
July 2, 2021 | Blogs
In what was a whirlwind of a shorter than normal 2021 regular session, the General Assembly had the ...
SPACS – Is the Party Over?
May 10, 2021 | Blogs
The boom in special purpose acquisition company (SPAC) IPOs continued at its record pace during the ...
Operational Considerations for Implementation of the California Commercial Lender Disclosure Law
May 5, 2021 | Blogs
On April 7, 2021, the Department of Financial Protection and Innovation (DFPI) published revised reg...
Webinar: Key Banking and Credit Card Processing Issues All Hemp Businesses Must Get Right
April 6, 2021 | Blogs
Hemp and CBD businesses continue to face challenges with banking, credit card processing and other f...
Exploring the Benefits of the Corporate Freeze Transaction
March 24, 2021 | Blogs
Synopsis The distribution of a C corporation’s assets to its shareholders often triggers a hea...
Blockchain and Art Provenance: Five Data Privacy Challenges
March 18, 2021 | Blogs
Distributed ledger technologies (DLTs) are becoming more prominent with applications across supply c...