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Corporate Governance & Board Counseling

Nick Yocca Law Firm provides extensive expertise on governance issues and regularly advises boards of directors and executives on corporate governance and related matters. Whether your company is a multinational publicly held company or small business, Nick Yocca Law Firm understands the complexities of corporation laws and federal and state securities laws and regulations and can assist your officers and directors in making decisions in a way that complies with the law. Our background includes the listing rules for companies that trade on the NYSE, NASDAQ, AMEX, OTCBB, or on the pink sheets, and we advise on Sarbanes-Oxley compliance and Dodd-Frank compliance.

  • Change-of-control duties and procedures

  • Charters, ethics policies, and "best practices" of boards and committees

  • Composition and operation of boards of directors

  • Composition and operation of committees, including audit, compensation, governance, and nominating committees.

  • Disclosure and transparency requirements

  • Executive compensation

  • Fiduciary duties of directors involving transactions, financings, equity offerings, and other matters occurring outside the ordinary course of business

  • Interests of other stakeholders

  • Internal and External auditors

  • Issues regarding the preparation of financial statements

  • Rights and equitable treatment of shareholders

  • Role and responsibilities of the board

  • Special committees in corporate transactions involving insiders and affiliates

  • Special investigations