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Regulatory, Compliance & Corporate Governance

Rimon’s Regulatory, Compliance and Corporate Governance attorneys advise clients on best practices to prevent shareholder and government scrutiny. Our clients include companies of all sizes, funds, c-suite executives, boards, and human resources and compliance departments. 

Regulatory

We provide regulatory and compliance advice to our financial services and investment management clients in connection with their transactional activities, including advice on SEC reporting requirements and on government regulations associated with conducting business in foreign markets. Our regulatory experience includes advising various clients on implementing and operationalizing the GDPR, CCPA and evolving state and federal privacy regulations, representating clients in contested proceedings and rulemaking proceedings before regulatory agencies and counseling financial services clients on all aspects of investment management regulation, including under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, Sarbanes-Oxley, ERISA and the USA PATRIOT Act. 

U.S.Regulatory

  • Representation of the CEO of a company in connection with an SEC investigation following a failed IPO. 
  • Representation of a Boston investment bank in the formation of two multi-national multi-tiered master-feeder hedge fund structures in compliance with the Investment Advisers Act, Investment Company Act, Securities Act, Securities Exchange Act, CFTC rules and other regulatory requirements.  
  • Representation of a multibillion-dollar technology company in connection with the NDRC anti-monopoly investigation. 
  • Representation of a publicly traded company in the artificial tissue area, and a private heart valve company in its general corporate matters as well as all of its Securities Exchange Act reporting and secondary offerings. 
  • Advising a major multiple radio ownership group on all aspects of FCC regulation, including representation before the U.S. Courts of Appeal in cases involving FCC interpretations of ownership rules and contested transactions. 
  • Representation of Biomarin, a US company developing and commercializing innovative biopharmaceuticals with respect to regulatory issues and negotiations of contracts for clinical trials. 
  • Representation of Polaroid in connection with advice related to California's Prop 65. 

International Regulatory

  • Representation of major investment funds, including State Street Global Advisors, MacKay Shields, Natixis, WisdomTree Investments, and others in connection with Chinese regulatory issues. 
  • Representation of Mead Johnson in connection with Chinese regulatory matters including a price fixing investigation, manufacturing compliance and permitting, and legislative commenting with regard to new legislations to be issued. 
  • Advising a multinational telecommunications company on potential money laundering offence issues under UK and EU law. 
  • Advising a major Chinese mobile communications company in relation to legal and regulatory risks in the U.S. and European markets. 
  • Counseling a public company in relation to an internal investigation involving the U.S. Foreign Corrupt Practice Act and U.K. Bribery Act allegations. 
  • Representation of an investment management firm based in Trinidad in connection with contract negotiation and securities regulatory and compliance issues. 
  • Representation of an American global aerospace company in connection with the creation of assembly capabilities in Russia and related regulatory issues. 
  • Representation of Mattel in connection with product recall and related investigations by local product safety regulators and customs for export in China during its global recall. 
  • Representation of IBM as counsel leading a team to provide the company with comprehensive legal services related to Chinese government and regulatory matters. 
  • Advising an US investment bank on the German banking law regulatory aspects regarding its market entry in Germany and continental Europe. 
  • Representation of Issuer Direct, a provider of disclosure management solutions and cloud-based compliance technologies, in connection with due diligence related to its potential acquisition of an Israeli tech company. 

Compliance

From a compliance perspective, our attorneys provide advice on SEC reporting requirements including counseling companies on establishing SEC conflict compliance programs, and advising various hedge, private equity and credit funds in connection with securities regulatory and compliance issues. We represent numerous NASDAQ-listed companies in connection with U.S. public offerings and related compliance advice.

U.S. Compliance

  • Representation of an investment adviser managing over $21 billion in assets in various channels  and strategies  in relation to all of its compliance issues.  
  • Advising an audit committee on review of executive officer misuse of funds and breach of Code of Conduct. 
  • Representation of several registered investment advisers on Investment Adviser Act compliance matters with over $10 billion in aggregate AUM. 
  • Counseling a pension fund regarding insider trading compliance best practices and procedures. 
  • Representation of a crowdfunding website in connection with securities law compliance matters related to its formation, licensing, and capital raising. 
  • Assisting a family private foundation in reorganizing its board structure and changing jurisdictions in compliance with state non-profit and federal tax laws. 
  • Counseling an institutional investor on Regulation M compliance procedures in response to FINRA inquiries. 
  • Representation of a hedge fund on structuring trading strategy in compliance with margin lending and anti-manipulation restrictions. 

International Compliance

  • Representation of an investment adviser managing over $21 billion in assets in various channels  and strategies  in relation to all of its compliance issues.  
  • Advising an audit committee on review of executive officer misuse of funds and breach of Code of Conduct. 
  • Representation of several registered investment advisers on Investment Adviser Act compliance matters with over $10 billion in aggregate AUM. 
  • Counseling a pension fund regarding insider trading compliance best practices and procedures. 
  • Representation of a crowdfunding website in connection with securities law compliance matters related to its formation, licensing, and capital raising. 
  • Representation of various NASDAQ-listed companies, in connection with U.S. public offerings and related compliance advice including Kazia Therapeutics, Immutep and Mesoblast. 
  • Assisting a family private foundation in reorganizing its board structure and changing jurisdictions in compliance with state non-profit and federal tax laws. 
  • Counseling an institutional investor on Regulation M compliance procedures in response to FINRA inquiries. 
  • Representation of a hedge fund on structuring trading strategy in compliance with margin lending and anti-manipulation restrictions.  

Corporate Governance

We advise on risk management, help clients develop and maintain internal policies and codes of ethics, and represent boards in internal investigations. Our corporate governance expertise includes representing investment adviser groups on implementing socially responsible investment regimes and ESG (Environmental, Social, and Governance) and representing multiple start-up enterprises in corporate formation, governance, compliance and inter-shareholder matters. 

Corporate Governance

  • Advising a U.S./U.K. fintech company on the development, communication and operationalization of privacy program and governance structure, including creation of privacy principles, policies, notice, cross-border data strategy, data lifecycle management, individual rights management, Privacy by Design, third-party risk management, and training. 
  • Representation of a private foundation in relation to general governance issues, including advising on family-controlled corporate documents and bylaw and agreements establishing donor intent. 
  • Representation of a registered investment advisor in relation to review of an advisory agreement and internal policies in response to audit. 
  • Acting as outside general counsel to Tauriga Sciences Inc., including providing corporate governance and board appointment advice, as well as advice in relation to SEC filings. 
  • Representation of Paz GUM Inc. on corporate governance issues in relation to the formation of its e-commerce platform, a securities purchase agreement and the structuring of its holding company. 
  • Representation of a non-profit corporation with a mission of funding cancer research and supporting cancer survivors and their families on general corporate governance matters in relation to formation and tax exemption. 
  • Negotiation and drafting of ancillary operations and governance agreements among the development subsidiary LLC and the publicly held parent/sponsor as part of a Yieldco IPO for an OTC-listed developer, owner and operation of industrial cogeneration facilities. 
  • Structuring and negotiating the multi-level private equity shareholder preferences & capital structure, management and investor rights, and the terms of the corporate governance structure as part of a $115M private equity acquisition of a credit card processing operation. 
  • Representation of an ice cream distributor in connection with corporate governance advice following the company's acquisition. 
  • Representation of Flexible Hybrid Electronics Manufacturing Innovation Institute in connection general corporate governance matters related to its creation as a non-profit entity. 

Rimon Attorneys With Expertise in Regulatory, Compliance & Corporate Governance Include: