Overview
Beyond the transaction, our role as trusted advisors extends to the entire lifecycle of a public company. We provide comprehensive, ongoing counsel, guiding clients through the complexities of the U.S. securities laws, including the Securities Acts of 1933 and 1934, the Sarbanes-Oxley Act, and the Dodd-Frank Act, as well as the listing standards of the NYSE and Nasdaq. We empower clients to mitigate risk and operate with confidence in an ever-evolving regulatory landscape.
Areas of Focus
SEC Disclosure & Reporting
We provide day-to-day disclosure advice for U.S.-listed companies and foreign private issuers to maintain high-quality, defensible public reporting.
Periodic Reporting Framework
We support annual and interim filings, earnings disclosures and investor communication protocols under SEC reporting obligations.
Material Event & Risk Disclosure
We advise on disclosure triggers, drafting standards and escalation processes for material developments and risk updates.
Disclosure Controls Enhancement
We assess and improve disclosure controls and procedures to reduce filing errors and strengthen management certifications.
Corporate Governance
We advise boards, committees and senior management on governance architecture, fiduciary obligations and decision-making hygiene.
Board & Committee Governance
We optimize committee mandates, meeting protocols and documentation standards for effective board oversight.
Related-Party & Conflict Management
We establish review and approval pathways for related-party transactions and conflict-of-interest situations.
Shareholder Engagement Strategy
We guide engagement with institutional investors and proxy advisors on governance-sensitive topics.
Regulatory & Trading Compliance
Rule 144 EntryWe build and maintain practical compliance systems covering insider trading, market conduct, reporting and control obligations.
Insider Trading Controls
We design blackout policies, pre-clearance workflows and trading surveillance mechanisms for directors, executives and employees.
Compliance Training & Response
We deliver targeted training and incident response playbooks for potential trading or disclosure violations.
Policy Lifecycle Management
We maintain policy libraries and annual refresh cycles aligned with evolving enforcement priorities.
Stock Exchange Compliance & Relations
We advise on NYSE/Nasdaq listing standards, ongoing obligations and exchange-facing communications to prevent compliance disruptions.
Listing Standards Monitoring
We track independence, governance and quantitative listing requirements and remediate potential deficiencies.
Exchange Correspondence & Hearings
We prepare responses to exchange notices and represent issuers in hearings and status update processes.
Corporate Actions Implementation
We coordinate legal execution for dividends, buybacks, equity plan actions and other exchange-sensitive corporate actions.