Corporate Governance

Robust corporate governance protocols can be the difference between a good company and a great one. We leverage our established regulatory and compliance practice to advise publicly- and privately-held entities, investors and boards and special committees in connection with the development of governance structures and policies that comport with existing and emerging legal and regulatory requirements. Our areas of focus include: Reporting and disclosure requirements under the federal securities laws; Compliance with securities exchange and self-regulatory organization (SRO) requirements; and development of compliance manuals and codes of conduct. Complementing our corporate/securities lawyers’ expertise, we call upon the expertise of lawyers with substantial experience both as senior lawyers inside financial services firms as well as those with regulatory experience. Not only was our firm founded by a Chief Attorney of the SEC’s Division of Enforcement, we count among our ranks a former General Counsel at a FINRA member broker-dealers as well as a former regulator.