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Securities and Corporate Governance Practice
Group Leader: Helga
Leftwich
Hutchison Law Group works with a broad range of companies and investors on securities law compliance and corporate governance matters.
We use securities law expertise to advise clients on complex securities law issues arising from a variety of business transactions – whether clients are raising capital, issuing equity compensation to employees and advisors, undertaking acquisition strategies or engaging in licensing or other collaborative arrangements. Securities law issues affect transactions in all these areas; Hutchison Law Group offers securities counseling and advice to clients in both the private and public arenas.
We represent hundreds of venture-backed and other privately held companies and advise them on securities matters related to initial and angel financings, venture capital financings and other private placement transactions. We also advise publicly traded companies on public and private financings and other securities compliance and regulatory issues facing the company and its officers, directors and major stockholders.
Since the enactment of the Sarbanes-Oxley Act of 2002, public companies have been faced with unprecedented challenges as new laws and regulations change how businesses are required to operate. We work with clients to assist in structuring and implementing corporate governance practices that make good business sense, while complying with new regulations.
Our Services
Highlights of the securities law and corporate governance services offered clients:
- Structuring, negotiating and documenting private placements of equity and debt securities purchased by individuals, angel groups, venture capitalists and strategic corporate investors
- Ensuring compliance with federal securities laws and state blue sky laws
- Representing issuers in public offerings of securities, including initial public offerings and follow-on offerings
- Pre-IPO planning, preparation and due diligence
- Executive and equity compensation issues
- Registration and offering process
- Capital structure issues
- Board and governance issues
- Advising and assisting officers, directors and major shareholders of publicly traded companies as to reporting and compliance obligations under securities laws
- Providing on-going compliance advice and assistance with the preparation of SEC periodic reports, handling of disclosure issues, compliance with securities trading rules and other federal and state laws and regulations
- Assisting public companies and their officers in understanding and implementing required Sarbanes-Oxley and corporate governance policies and procedures, and complying with related SEC and stock exchange rules and regulations
- Counseling privately held companies on the implications for their businesses of the Sarbanes-Oxley Act and the changing regulatory environment
- Advising boards of directors and board committees on responsibilities under the Sarbanes-Oxley Act and relevant SEC and stock exchange rules, including matters related to board composition, director independence, stockholder communications and other corporate governance policies and procedures
- Advising clients on securities matters related to mergers and acquisitions, joint ventures and other types of strategic alliances
At Hutchison Law Group, we provide high quality advice to our clients in all aspects of business transactions. We understand the businesses our clients are in and our advice and counsel reaches beyond legal assistance. Of course, our securities practitioners have the legal and transactional expertise to assist our clients in complying with securities laws and in operating their businesses. We understand the increased transparency, responsibility and accountability of the current regulatory environment and know how to handle it.
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