Securities Compliance

We work closely with our domestic and foreign corporate clients to interpret, implement and assure compliance with a wide range of securities law compliance matters, including:

  • Preparation and review of Securities Exchange Act reports, with attention to industry-specific and overall public company "best practices"
  • Disclosure matters, including compliance with Regulation FD and Regulation G
  • Compliance with NYSE, Nasdaq and Amex listed company rules, including issues regarding director independence
  • Compliance with the Foreign Corrupt Practices Act
  • Preparation and review of proxy statements, advice on shareholder proposals and assistance with conduct of shareholder meetings
  • Compliance with insider trading rules, Section 16 reporting and liability matters and implementation of issuer repurchase and Rule 10b5-1 issuer and individual trading programs

These matters sometime involve potential or actual litigation. Our approach to client service includes advice and counsel provided before litigation arises to reduce the risk of litigation. Chadbourne litigators have extensive experience defending clients in such matters as shareholder derivative lawsuits and class actions, and are skilled at coordinating and simplifying the multi-jurisdictional complications of such cases. We also draw on the experience of our securities litigation and regulatory enforcement attorneys to counsel clients on structuring and conducting internal corporate investigations, crisis management, responding to SEC inquiries and investigations, compliance audits with respect to Sarbanes-Oxley Act disclosure controls and certification procedures and government voluntary disclosure and amnesty programs. We also defend officers and directors and, critically, advise and litigate when necessary on D&O and other insurance issues.

Securities Compliance Team

Our securities compliance team consists of attorneys with extensive experience in counseling large multinational clients on securities law, disclosure and related matters. We work to establish close relationships with inside counsel and non-legal personnel within our client’s organization, emphasizing effective communication, teamwork and accessibility, among other factors. We keep clients abreast of the latest legal and business developments that affect them and their industries through client alerts and newsletters.

Representative Experience

Acquisition of WZF Polfa S.A.
Polpharma S.A.
Acquisition of one of the biggest pharmaceutical companies in Poland

Related Practice Areas

Capital Markets
Corporate Governance and Risk Oversight
Executive Compensation and Employee Benefits
Securities Litigation and Regulatory Enforcement

Related Industries

Consumer Products
Food and Beverage
Mining and Metals
Agency Finance
Pharmaceuticals and Medical Devices
Infrastructure, Transportation and P3s

Related Regions

Middle East and North Africa
Latin America
North America

Worldwide Contact

Edward P. Smith
New York
+1 (212) 408-5371

Local Office Contacts

Related Information