DGS counsels NASDAQ, NYSE, Amex and other public companies on a wide variety of corporate and securities matters. We have represented these public companies in a large number of US and cross-border public offerings, including initial public offerings. We also handle a variety of private securities offerings by our public company clients.
In addition to advising clients in public and private securities transactions, DGS lawyers have successfully counseled many clients through Sarbanes-Oxley and other corporate governance initiatives imposed on US-listed public companies, and are well acquainted with the complex and subtle factors that must be evaluated by public company boards, audit committees and executive officers in this challenging business environment. Our lawyers also routinely advise public company directors and executive officers regarding their personal liability under the securities laws. As we advise our clients, we are mindful of the business realities that must be balanced against evolving standards of conduct to craft solutions that address both the commercial and legal needs of the enterprise.
DGS also works with clients to structure and administer stock option or phantom stock plans in compliance with the Securities Act of 1933. We also have expertise in designing employee benefit plans, including employee stock purchase programs, that adhere to complex regulatory requirements, including requirements imposed by ERISA.
One important area of focus for our clients is compliance with securities regulations specifically targeted to the trading activities of directors, officers and major shareholders. DGS offers significant experience in dealing with the short-swing trading restrictions imposed by Section 16 of the Securities Exchange Act of 1934. In addition, we frequently prepare in consultation with our clients disclosure and insider trading policies that minimize the client’s legal risk while maximizing day-to-day flexibility.