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 »

SEC Discusses Troubling Private Equity Practices

private equity

Investment Advisers, Private Equity, Uncategorized Andrew J. Bowden, Director, SEC Office of Compliance Inspections and Examinations, gave a talk where he discussed troubling practices identified in examinations of private equity advisers. Some of these include: The most common observation SEC examiners have made when examining private equity firms has to do with the adviser’s collection of fees and allocation of […] Read more →

by   |   May 10, 2014

accountant2

SEC Reminds Investment Advisers to Review Compliance Policies Annually

Investment Advisers, Uncategorized Norm Champ, Director, SEC Division of Investment Management, recently gave a speech where he reminded investment advisers to review compliance policies annually as required by SEC... Read more →

by   |   May 4, 2014

whistleblower

Dodd-Frank Whistleblower Claims Subject to Arbitration, Key Distinctions Between Dodd-Frank and Sarbanes-Oxley Whistleblower Protections

Employment, Litigation, Public Companies and Securities, Uncategorized The below article by Sean Colligan was featured in the April issue of Stinson Leonard Street’s Business Torts Update, which focuses on recent developments affecting... Read more →

by   |   April 30, 2014

conflict minerals

Ignore the First Conflict Minerals Filing

Public Companies and Securities, Uncategorized Securities lawyers eagerly await the first (or the first few) new filings required by law to learn (and of course copy) from them.  So the first conflict minerals filing to... Read more →

by   |   April 27, 2014