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

Providing Audited Financial Statements Late Leads to Charges of Custody Rule Violations

hedge fund

Litigation, Private Equity The SEC announced charges against an investment advisory firm and three of its top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or securities. Advisory firms with custody of private fund assets can comply with the custody rule by distributing audited […] Read more →

by   |   October 29, 2014

US Capitol Building

Regulators Approve Securitization Risk Retention Rule

Banking, Public Companies and Securities Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions.  The final rule implements the risk retention... Read more →

by   |   October 22, 2014

governance

ISS Proposes New Methodology For Evaluating Equity Plan Proposals

Employment, Public Companies and Securities A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan.  Accoding to ISS, while it has historically... Read more →

by   |   October 20, 2014

governance

ISS Considering Changing Course on Independent Chair Shareholder Proposals

Public Companies and Securities ISS is requesting feedback on a change to its voting policy on independent chair shareholder proposals.  ISS’ current policy is to generally recommend for independent chair... Read more →

by   |   October 16, 2014