Our attorneys have prior experience as in-house counsel and chief compliance officers, and the team includes a former examiner for the Financial Industry Regulatory Authority (“FINRA”) and a former head of government investigations for a national financial services company.
Barton often serves as special or general counsel to clients that lack an in-house law department and serves as counsel to in-house attorneys for complex matters that require our team’s experience and perspective. Typical services offered by our attorneys include acting as:
- Counsel during the process of entity formation
- Special counsel for disclosure and compliance programs for hedge funds, private equity funds, and domestic and foreign filers
- Special counsel to public company boards of directors and their committees
- Special counsel to boards of directors and committees for self-assessments and governance reviews
- Independent counsel to boards of directors and their committees
- Counsel during regulatory investigations and enforcement proceedings
- Litigation counsel both in federal and state courts, as well as in arbitrations
Barton is regularly called upon to advise foreign companies on a broad range of compliance issues as they seek to establish their businesses in the U.S. After these foreign filers have been domesticated, they often continue to retain Barton to handle U.S. governance, disclosure, and compliance matters.
Barton’s attorneys also serve as special counsel for governance matters affecting not-for-profit boards of directors and their committees. Our team provides guidance on the evolving fiduciary standards for directors of not-for-profit entities and assists with issues affecting not-for-profit nominating committees, audit committees, fundraising, and general compliance.