Becker & Poliakoff, assists clients in reviewing, developing and implementing corporate governance and compliance programs to enable officers and directors to discharge their legal and regulatory responsibilities. The programs conform to the requirements of the Sarbanes-Oxley Act of 2002 and the regulatory requirements of the SEC, the NYSE and the Nasdaq Stock Market. Our attorneys regularly attend Board of Directors and Committee meetings to assist in the implementation and monitoring of these programs. We act as the functional equivalent of an in-house legal department for our small to mid-sized public corporations, broker/dealers and financial services companies without a legal department, and provide the general advice and representation on day to day affairs.

We have also been retained as Special Counsel to Audit and Corporate Governance Committees of Boards of Directors to conduct special investigations to assess and evaluate circumstances that may indicate a breach or violation of internal controls or federal or state securities laws. In these engagements we have prepared confidential reports designed to enable our clients to determine whether any remedial action is warranted, and provided guidance in the structure and application of such action.

For further information on the Corporate Compliance Programs practice group, please contact:

Victor J. DiGioia, 212-599-3322, vdigioia@becker-poliakoff.com
Stanley R. Goldstein, 212-599-3322, sgoldstein@becker-poliakoff.com