Securities and Corporate Governance

At Freidman Capital Group LLC, our Securities and Corporate Governance Practice Team represents openly traded and privately held businesses on issues of securities regulations and corporate governance.

Our legal experience relating to securities and corporate governance includes acting for both underwriters and issuers in an extensive range of securities undertakings such as public offerings and private placements of equity and debt securities, tender offers, going-private transactions, proxy contests and review and preparation of periodic reports. We also assist our clients in the preparation of their annual meeting, including the proxy materials and offer advice concerning continuing securities compliance.

We have in-depth knowledge to rightfully counsel clients in relation to corporate governance and issues challenging the roles of the board of directors and its committee memberships; assistance in creating, improving and implementing bespoke compliance and ethics-focused programs and policies that tackle issues occurring under securities laws, concentrating on each client’s needs to generate a customized and incorporated compliance arrangement for their businesses. We are also skilled in undertaking internal investigations including whistleblower grievances, professional representation in governmental investigations, civil and criminal enforcement actions involving regulatory and compliance matters.

Our profound and insightful understanding of the essential regulations and the various business practices of an expansive cross section of business entities facilitates us to prevent the common cliché “one-size-fits-all” approach and modify our advice to the particular needs of each client. Additionally, our consultants keep abreast of market changes that normally affect our clients.

Our Securities and Corporate Governance Team

Our legal team exclusively created to tackle issues on securities and corporate governance is composed of some of the most well-known consultants in the securities and corporate governance sectors. We have years of legal experience serving as general business adviser to our clients. On a day to day basis, our consultants who are assigned at every client regularly discuss with the company chairman and its general counsels on:

• The evaluation of various financing alternatives
• Public disclosure and continuing securities compliance
• Review and assessment of corporate governance issues for board of directors, compensation, audit and nominating committees
• Preparing and reviewing important forms and documentations to be filed with the Securities and Exchange Commission