White Collar, Investigations and Enforcement

Corporate Governance and Compliance

Meeting current and emerging governance requirements and regulatory expectations can be a significant challenge for firms in many industries. NERA works with clients to ensure they are in full compliance with governance and regulatory requirements, while simultaneously maximizing the usefulness of required processes within the business context. We address governance-related issues that are central to many types of litigation, including fiduciary duty, shareholder rights and proxy contests, Sarbanes-Oxley compliance, ERISA compliance, issues of board process, executive compensation, options grants, insider trading, Rule 10b5-1 stock sale plans, and intercompany relationships.
 
Allegations of improper governance practices or regulatory compliance failure require multidisciplinary expertise. NERA maintains a strong understanding of current regulations and their interpretations. Our experts have direct regulatory experience, and in many cases have written or contributed to rules. This experience gives us insight into current regulatory hot buttons as well as potential rule changes, governance requirements, and new regulations. Our extensive network of experts has held key positions at the Federal Reserve Board, the Commodity Futures Trading Commission, and the Securities and Exchange Commission, and as participants of the President’s Working Group on Financial Markets. We also work frequently with outside industry and academic experts.

Our experts also have extensive financial industry experience, holding positions on trading desks and as risk and valuation managers at some of the world’s leading financial companies. Additionally, NERA has advised numerous major banks, insurance companies, mutual funds, and hedge funds on a variety of governance, compliance, and regulatory issues. NERA’s depth and breadth of industry experience ensures our ability to assist clients in using both best practices and emerging practices to ensure that they meet governance and compliance requirements.