Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Revenue Recognition Representations for M&A and Underwriting Agreements

Public Companies and Securities Some have suggested that the FASB’s new revenue recognition standard will result in particularized representations in M&A, underwriting and loan documents. It’s easy to argue it’s not necessary and is covered by the standard representation such as “The Financial Statements have been prepared in accordance with GAAP applied on a consistent basis throughout the period […] Read more →

by   |   June 19, 2017

Delaware Supreme Court Scolds Special Committee Member that Joins Law Firm

Litigation, M&A The Delaware Supreme Court upheld the Chancery Court decision in Chester County Retirement Systems v. Collins et al.  In so doing, it noted one troubling aspect of the record as... Read more →

by   |   June 18, 2017

Faulty New Computer System Results in SEC Bringing MD&A Related Charges

Litigation, Public Companies and Securities The SEC recently brought charges against the CEO and CFO of UTi Worldwide Inc. in a settled enforcement proceeding.  The Company was engaged in multinational freight forwarding... Read more →

by   |   June 16, 2017

SEC Charges Chief Compliance Officer with AML Violations

Broker-Dealer, Litigation The SEC announced that John David Telfer, the former chief compliance officer and anti-money laundering (AML) officer of a registered broker-dealer, agreed to a securities... Read more →

by   |   June 14, 2017