Securities and Corporate Governance
Within the Securities and Corporate Governance group, we advise publicly traded and privately owned businesses on securities regulation and corporate governance.
We represent issuers, underwriters and placement agents in their transactional and day-to-day business activities. We have particular experience in representing the small to mid-range investment banking firms and issuers. The types of client transactions include initial and secondary public offerings, private equity and debt offerings, Regulation S off-shore offerings, SPAC offerings and SPAC business combinations, and reverse mergers. We also advise on the listing process with exchanges, most often involving the AMEX, NASDAQ and the OTC:BB, and we have experience with AIM listings.
Our clients also look to us for guidance on ongoing securities law compliance. We are actively engaged with our clients in the preparation and review of their periodic reports and other SEC filings (such as proxy materials) and with their corporate governance requirements under the securities laws and the exchanges on which their securities are listed. For underwriters and placement agents, we help them meet the state “blue sky” requirements and transactional FINRA compliance.
Our securities law experience covers a wide spectrum of industries and jurisdictions. Our issuer clients are engaged in such industries as software development and services, mining and natural resources, marketing, on-line services, beverage and foodstuffs, film production, alternative energy and bio-energy, animal health and nutrition products, pharmaceuticals and medical devices, and securities trading services. In addition to clients with activities primarily in the United States, we represent United States and non-United States incorporated enterprises with operations in Canada, China, France, Italy, Hong Kong, Malaysia, India, Singapore, and the United Kingdom. A number of the clients are Foreign Private Issuers.
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