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Corporate Governance
FTI offers specialized services to help clients comply with government regulations and improve internal controls and governance. Our highly experienced professionals bring detailed knowledge of their fields to client projects, providing compliance assessments, process improvement and full support for compliance procedures.
We help clients in the following areas:
Internal controls
Experience in Sarbanes-Oxley compliance, internal control review and assistance to CEO, CFO, CIO and other C-level executives on accounting policy and procedures
Detailed knowledge of audit committee responsibilities, auditor reporting on internal controls and new SEC Form 8-K reporting rules
SEC compliance
National reputation for consulting and expert witness services for securities counsel and their clients regarding SEC Division of Enforcement inquiries and investigations and Rule 102(e) proceedings
Professionals include several former senior members of the SEC accounting staff from the Division of Enforcement as well as others from the Office of the Chief Accountant and the Division of Corporation Finance with first-rate technical knowledge, a solid understanding of securities laws and regulations, and avenues of communication with the SEC enforcement staff
Experience in many high-profile SEC matters and investigations for registrants, individuals, auditors and audit committees, counsel and their clients
Focus on helping registrants avoid protracted SEC investigations
Listing advisory services
Expertise in all phases of the listing process for the NASDAQ, the New York Stock Exchange and the American Stock Exchange, including choice of exchange; applications; review of operations, business plan and projections; review of compliance with corporate governance rules and policies; and communication with the SEC
Senior-level contacts at NASDAQ, the NYSE and the AMEX
Professionals who are former NASDAQ counsel and former SEC accountants
Years of experience working with companies to resolve challenging NASDAQ listing issues
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