Governance is essential for a public reporting company or a private company with diverse ownership. We counsel clients on the implementation of codes of conduct and business ethics rules, conflicts of interest avoidance, fairness analyses, fair process counseling, and other governance issues.

Our team regularly serves as special counsel to various boards of directors, special committees, sub-committees, and other governing bodies to advise on proper compliance and the respective regulations. We represent clients in activist situations, create corporate policies, and advise special committees in interested-party transactions such as going-private deals, management buyouts, and related party leveraged buyouts.

We often serve as general securities counsel in connection with clients’ preparation and filing of periodic reports with the SEC and other regulatory bodies. Our compliance experience includes:

• "Blue Sky,”
• Dodd-Frank Act
• Federal and state corporate and commercial laws
• Internal investigation counsel in connection with whistleblowing matters
• Sarbanes-Oxley Act
• Securities exchange listing and maintenance requirements
• The Investment Advisers Act of 1940 and the Investment Company Act of 1940
• The Securities Act of 1933 and the Securities and Exchange Act of 1934
• Uniform Commercial Code