Occam Regulatory Solutions LLC

Occam advises on operational and legal risk, including
corporate governance issues.

We advise clients on corporate governance issues
including coordinating securities disclosures, regulatory
filings, stock exchange listings, off-balance sheet
financing and disclosure, preparation of proxy
statements in the context of shareholder activism and
proposals, Regulation FD, executive compensation,
back dating of options, advising boards of directors,
conflicts of interests, insider transactions and
information barriers/Chinese Walls, analyst conflicts of
interest, and internal certification process for financial
disclosure and operational risk.

Our public clients are listed on NYSE, NASDAQ, and
other US and European exchanges.
Occam Regulatory Solutions LLC
One Sherman Square
Suite 39H
New York, NY 10023
(212) 769-3921 • Fax (212) 702-8788