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Corporate Governance & Securities

Corporate Governance is one of the buzz words in the business arena now particularly due to the increased desire for protection of the shareholders and other investors. Businesses are also under the increased need to disclose information particularly if they are listed and their shares are traded in the stock markets. These requirements exist across the globe, although different in their scope.
The compliances can come from the Securities

Act of 1933, the Securities Exchange Act of 1934,

the Stock Market rules, The Sarbanes Oxley Act and The FATCA Act. Specifically for securities, there may be separate compliances required even for private placements and Initial Public Offers (IPO’s.)
The main issues in Corporate Governance relate to Minority Shareholders Rights, whistle Blower Protection, Dodd-Frank Act and voluntary disclosures by the companies. Some of the legislations also require regular filings with statutory bodies.
In terms of securities, the main issues related to Insider Trading Provisions, Initial public offerings, Follow-on primary, and secondary equity offerings and issuance of other securities. Special offerings by companies such as Convertible Debt and Hybrid Offerings also are covered under these provisions.
Empire covers all issues of Corporate Governance and Security Laws with an aim to provide complete solutions for all possible issues.

No designation has been made by the Texas Board of Legal Specialization for a Certificate of Special Competence in this area.

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