Corporate Governance and Compliance

U.S. public companies deal every day with rapidly evolving corporate governance standards, daunting SEC disclosure requirements and other wide-ranging legal compliance challenges. Our multi-disciplinary teams of lawyers help public-company boards and managers implement and maintain best practices and stay on top of the latest legal developments.

Dorsey lawyers have deep experience advising public companies in governance and disclosure law, executive compensation, compliance programs and risk management. We advise our public company clients on:

  • Board fiduciary duties in oversight and decision-making
  • SEC periodic reporting and proxy rules
  • Board and committee composition, structures and charters, as well as codes of ethics and conduct
  • Regulation FD and communicating with the public markets
  • Sarbanes-Oxley compliance and best practices
  • Executive compensation plans and arrangements
  • Corporate compliance programs, government investigations and enforcement proceedings
  • Sales of restricted and control securities, beneficial ownership reporting requirements and avoiding short-swing profit liability
  • Insider trading prevention
  • Takeover planning and dealing with dissident shareholders
  • Corporate record-keeping and document retention

For assistance with designing and implementing a corporate compliance program and with corporate governance requirements, please contact Practice Chairs, Steven Khadavi at (212) 415-9376 or Jason Brenkert at (303) 352-1133.

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