Governance and Compliance
Barton’s governance and compliance attorneys are uniquely qualified to advise public and private companies. Our attorneys have deep experience as in-house counsel, chief compliance officers, a NASD compliance officer and a head of government investigations for a national financial services institution.
Barton often serves as special or general counsel to those clients who have no in-house law department, and serves as counsel to in-house attorneys in situations in which our experience and perspective provide a helpful context to the complex legal decisions today’s in-house attorneys are called upon to make. Typical assignments include Special Counsel for disclosure and compliance programs for hedge funds and private equity funds as well as domestic and foreign filers; Special Counsel for Public Company Board and Committee Governance Matters; Special Counsel for Board and Committee Self-Assessments and Governance Reviews; and Independent Counsel to Boards and Board Committees.
Additionally, Barton is routinely called upon to advise foreign companies on a broad range of compliance issues as they seek to establish their businesses in the United States. Established foreign filers seek the advice of the firm regarding their formal US governance, disclosure and compliance obligations.
Lastly, Barton also serves as Special Counsel for not-for-profit Board and Committee governance matters, including advice regarding the evolving fiduciary standards for Directors of not-for-profits, the nominating committee, the audit committee, fund raising and general compliance.