Corporate Formation, Governance, and Compliance

Barton’s Formation, Governance, and Compliance team is uniquely qualified to advise public and private companies of all sizes, whether it be a burgeoning start-up or a large, well-established corporation.

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 and 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.

Work in this Area

Corporate Formation, Governance, and Compliance

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Representative Matters
  • Advised Corporations on Complex Structuring and Finance
    • Advised numerous companies regarding corporate formation structure, governance, compliance, and finance matters.
  • Counsel to High-End Fashion Design Houses
    • Advised both international and domestic fashion design houses on various legal matters concerning their lines of high-end beauty products.
  • Counsel to Multiple Logistics and Packaged Goods Companies
    • Has advised various clients in the packaged goods and logistics industries on multiple legal matters affecting day-to-day operations, including licensing, distribution, and finance.
  • Assisted with Corporate Restructuring for NY-based Company
    • Represented a major New York-based company in its corporate restructuring in anticipation of the sale of the company.
  • Represented Award-Winning Chef in Operation of Manhattan Restaurant
    • Represented an award-winning chef in the successful opening and operation of his new Manhattan restaurant, including in connection with corporate structuring, financing, real estate leasing, employment matters, and various related agreements and business ventures expanding the chef’s brand.
  • Salvaged Business of a Wine and Spirits Retailer
    • Represented a New York-based wine and spirits retailer concerning salvaging and continuing the business after the death of its CEO and founder.
  • Counsel to Chocolate/Confections Retailer Regarding Business Operations
    • Represented a New York-based retailer in chocolates and confections with the successful opening and operation of its business, including corporate structuring, financing, real estate leasing, employment matters, and various related agreements and business ventures.
  • Negotiated Various Agreements for Series B FinTech Company
    • Provide ongoing counsel to an innovative Series B FinTech company, including negotiation and drafting of licensing agreements, electronic access and trading agreements, service level agreements, sub-advisory agreements, technology services agreements, and myriad other commercial agreements and FINRA-related matters.
  • Advised Co. on $1.2 Billion Carbon Emissions Offset Project
    • Advised a multinational energy company on its participation in a $1.2 billion carbon emissions offset project in China.Oversaw Chinese Company’s Expansion into U.S. and CanadaAdvised a Chinese state-owned heavy equipment company on its expansion into the United States and Canada, including advice on import requirements, financing, and strategic planning.