Regulation of Corporate and Securities Activities

Like other business entities, banks, thrifts, trust companies and their holding companies must comply with a variety of corporate, securities and banking laws relating to their ownership and management. These include restrictions under federal and state securities laws pertaining to the offer and sale of securities, trading in securities, reporting and disclosure and solicitation of proxies.

Financial institutions are also subject to legal, charter and bylaw requirements relating to the relative responsibilities and rights of their various constituencies, such as shareholders, directors, officers and, sometimes, depositors.

Schiff Hardin has extensive experience in all areas of the corporate governance of financial institutions and their constituencies. We also have extensive experience in advising our publicly held clients on compliance with the Sarbanes-Oxley Act and the federal and state securities laws generally.

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