Governance, Risk & Compliance
The PCGC team regularly assists public companies with:
- all aspects of securities laws compliance and stock exchange listing requirements
- responding to SEC inquiries
- establishing and refreshing governance practices
- risk programs and internal reporting, including board oversight
- designing and implementing internal and external communications programs
- advising boards and management on succession issues
- shareholder activist campaigns and proxy battles
Our team has expertise in all aspects of federal and state securities and corporate law matters, including Exchange Act reporting, the Sarbanes-Oxley Act, the Dodd-Frank Act, stockholder rights plans and other antitakeover matters, stockholder proposals and proxy contests, stock exchange listing requirements and Delaware and North Carolina corporate governance matters.
R. Douglas Harmon
Doug Harmon has more than 30 years of experience representing public companies in a wide array of areas, including: capital markets and corporate finance transactions, corporate governance and compliance, risk management, mergers, acquisitions and joint ventures and contracts.
Doug’s clients have spanned multiple industries, including energy, financial services, manufacturing, retail, sports and entertainment, pharmaceuticals and technology.
Doug is the author of Doug’s Note and founder of the Public Company Forum. He has been chosen as one of Woodward/White’s Best Lawyers in America in securities law since 2007.
- Prepared a shareholder rights plan (shelf poison pill) for a retailer of women’s fashions and accessories
- Drafted a comprehensive “takeover handbook” for an energy company that provided a step-by-step playbook in responding to different takeover scenarios
- Regularly review governance policies and charters of NYSE and Nasdaq companies
- Regularly assist public companies with periodic reporting and other Exchange Act filings
- Advise public companies regarding latest shareholder proposals and inform them of the latest trends in shareholder activism