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8 February 2013

These include:

• 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 programmes

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 co-ordinating 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 programmes.

We also defend officers and directors and, critically, advise and litigate when necessary on D&O and other insurance issues.

Our securities compliance team consists of attorneys with extensive experience in counselling 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 clients’ organisations, emphasising 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.

For more information on securities compliance click here.

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