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 »

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Ethan Mark

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ethan.mark@stinsonleonard.com

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Posts from Ethan Mark

SEC Finds Loan to Investment Adviser’s CEO a Conflict of Interest

Investment Advisers Consulting Services Group, LLC, or CSG, was a registered investment adviser whose business included providing consulting services to public pension funds. These consulting services included recommending third-party investment advisers to actively manage public pension accounts. According to the SEC, during the relevant time period, CSG either failed to disclose or mischaracterized in its Forms ADV... Read more →

by   |   January 20, 2015

SEC Provides Guidance on Key Employee Trusts Under Family Office Rule

Investment Advisers The SEC Division of Investment Management recently provided guidance on whether certain key employee trusts would qualify as family clients under the rule. Recognizing the need... Read more →

by   |   December 29, 2014

Volker Rule Compliance for Private Equity and Hedge Funds Extended

Banking, Investment Advisers, Private Equity The Federal Reserve Board has acted under section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, commonly known as the Volcker Rule, to give banking... Read more →

by   |   December 19, 2014

NYSE to Make Late Filings Rule Applicable to Form 10-Q and Defective Filings

Public Companies and Securities The NYSE proposes to amend its continued listing requirements in relation to the late filing of a company’s annual report with the SEC as set forth in Section 802.01E, or the... Read more →

by   |   December 13, 2014