Skip to content

It looks like we may have content for your preferred language. Would you like to view this page in English?

Handling SEC Compliance Issues on Behalf of US and China-Based Clients

Changes in Securities and Exchange Commission (SEC) regulations and interpretations seem to be developing at an ever-increasing pace, making it difficult for public companies, especially smaller public companies, to keep up with the rule changes and new compliance requirements. This chapter provides an overview of changing SEC compliance issues as well as insights into how smaller public companies can develop goals and strategies to overcome various SEC compliance challenges.
The attached PDF of Chapter 4, “Handling SEC Compliance Issues on Behalf of US and China-Based Clients,” by Giovanni Caruso, from SEC Compliance Best Practices, 2012 Edition is reprinted with permission. Copyright © 2012 Thomson Reuters/Aspatore.

Giovanni Caruso is a partner with the Corporate Group in the New York office. He represents public and private companies in a broad range of corporate and securities matters, including general corporate governance, private placements, mergers and acquisitions and federal law compliance in connection to the Securities Act and Exchange Act and Sarbanes-Oxley, as well as the various exchanges (NASDAQ, NYSE and the NYSE Amex).