Hunter Taubman Fischer & Li advises on public company regulatory compliance needs, including registration, listing, interpretive, compliance, enforcement and disciplinary matters involving the Securities and Exchange Commission, the New York Stock Exchange, the NASDAQ Stock Market, and the Financial Industry Regulatory Association (FINRA). Our securities attorneys include former SEC staff members who offer our clients insight into the workings of the SEC and advice on its rules and procedures.
We provide day-to-day legal advice on compliance with all applicable securities laws, including significant new developments such as the Dodd-Frank Act of 2010. This includes:
- compliance with the Sarbanes-Oxley Act of 2002
- compliance with disclosure rules, including Regulation FD and Regulation G
- periodic and other corporate reporting and publicity requirements
- proxy issues
- tender offers
- restrictions on trading by corporate insiders and affiliates
- transfers of restricted securities
We maintain a preeminent practice counseling and representing public companies and boards of directors regarding regulatory matters, corporate governance and compliance, and complex securities transactions. With recent changes in the regulatory environment, it is extremely important that public companies are aware of changes to rules and regulations that govern their conduct as public entities. We assist our clients in staying current and having up-to-date knowledge of the new rules and regulations as well as implementation of procedures required by specific rule changes.
We advise clients on a wide range of governance and compliance issues. Our attorneys serve as regular outside counsel to emerging and middle-market companies. In the current business climate, when corporate officers, independent directors or shareholders may require special outside counsel for the first time, we can assemble a team providing extensive coverage focused on efficient, successful resolution of the issues.
Our lawyers also provide timely assistance with corporate governance and the “best practices” that align with the higher expectations of institutional investors. We assist with compliance programs and internal investigations, as well as SEC and government investigations, institutional shareholder issues, shareholder litigation and strategic and crisis management.
We support our clients with a variety of corporate governance issues, including:
- representing issuers before listing and other regulatory and quasi-regulatory agencies such as the NYSE, FINRA and the Divisions of Enforcement and Corporate Finance of the SEC
- transactional advice across a wide spectrum of deal structures
- advising boards of directors and their special and independent committees on mergers and other business combinations, affiliated-party transactions, securities offerings, and corporate governance matters
- advising and representing corporate officers, boards of directors and board committees in connection with their fiduciary responsibilities and establishing ways to minimize liability
- developing and managing compliance policies and programs to help prevent small problems from becoming serious and expensive problems
- internal investigations for clients who are subjects of investigations or who have initiated them
- advising companies with respect to institutional or activist shareholders, particularly hedge funds and pension plans
- forming crisis management plans