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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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Steve Quinlivan

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Posts from Steve Quinlivan

Not Necessary to “Boil the Ocean” in FCPA Internal Investigations

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Litigation, Public Companies and Securities Assistant Attorney General Leslie R. Caldwell recently gave her views on the proper scope of internal investigations regarding FCPA matters.  In her views she noted: Although we expect internal investigations to be thorough, we do not expect companies to aimlessly boil the ocean.  Indeed, there have been some instances in which companies have, in our […] Read more →

by   |   April 20, 2015

enforcement

Dodd-Frank Anti-Spoofing Statute Not Void for Vagueness For High Frequency Trader

Derivatives, Litigation In United States v. Coscia, the District Court for the Northern District of Illinois Eastern Division declined to dismiss an indictment for “spoofing” against a high... Read more →

by   |   April 18, 2015

M&A

Fed Eases Small Bank M&A Rules

Banking, M&A The Board of Governors of the Federal Reserve Board has modified its Small Bank Holding Company Policy Statement to facilitate the sale of smaller community banks. Under the final... Read more →

by   |   April 11, 2015

derivatives

CFTC Pushes Dodd-Frank Boundaries With Manipulation Case

Derivatives, Energy In the first case of its kind, the CFTC has accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to Section 6(c)(1) of the Commodities... Read more →

by   |   April 4, 2015