Practices | Financial Services and Securities Law

Sarbanes-Oxley and Corporate Governance

The Sarbanes-Oxley Act of 2002 presents an extraordinary expansion of Federal Securities Law and regulation of corporate governance, disclosure, reporting and accounting requirements and penalties, which should be fully understood by all publicly traded and reporting companies. Organizations are faced with the need to respond to a continuously evolving regulatory environment.  Increasing board responsibilities demand a deeper knowledge of the organization and its industry and more involvement in the review of disclosure and compliance information. Board action (or inaction) is increasingly scrutinized by shareholders, regulators, and governance rating agencies.

Financial services and securities lawyers at Bernstein Shur offer counseling to publicly held companies, their boards of directors, committees and senior executives, and public accounting firms on a wide range of corporate governance matters, including the Sarbanes-Oxley Act of 2002.  We provide advice on disclosure controls and procedures, composition and operation of boards of directors and committees, analysis of conflicts of interest, and fiduciary duties of directors.