Compliance

Compliance

In the areas of compliance, Executive Counsel is adept at advising the board of directors regarding its fiduciary duties, including:

  • Matters relating to conflicts of interest, independence, good faith and the exercise of due care
  • Counseling and advice on compliance with the Sarbanes-Oxley Act of 2002
  • Periodic reports and proxy statements (10-K, 10-Q, 8-K, Forms 3, 4 and 5, etc.)
  • Compliance with insider trading rules
  • Compliance and enforcement matters