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Posts from Steve Quinlivan

Treasury Official Discusses Path Forward on Financial Reform

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Michael Barr, Treasury Assistant Secretary for Financial Institutions, outlined the path forward for implementing the Dodd-Frank Act on August 10, 2010.  Mr. Barr noted the agencies involved in implementing financial reform are in the process of establishing timelines for moving forward on the scores of studies, regulations, and other regulatory... Read More

Topics: Banking

FDIC Creates Office of Complex Financial Institutions

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The FDIC Board of Directors today approved the creation of a new Office of Complex Financial Institutions (CFI) and Division of Depositor and Consumer Protection (DCP) to help carry out its responsibilities under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The CFI will perform continuous review and oversight... Read More

Topics: Banking

A Compensation Plan That Didn’t Work

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HP’s Chief Executive Officer, Mark Hurd, resigned after an investigation disclosed that Hurd had a “close personal relationship” with an H-P contractor hired by the Office of the CEO and that “Mark never disclosed that.”  According to HP’s General Counsel, “there were instances of compensation and reimbursement for services that were... Read More

Topics: Banking, Employment, Executive Compensation, Public Companies and Securities

Dodd-Frank and Minnesota Investment Advisers

The Interaction Between Dodd-Frank and Minnesota Regulation of Investment Advisers Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following rules applied under the Investment Advisers Act of 1940: The Investment Advisers Act precluded investment advisers with less than $25 million in assets under management from... Read More

Topics: Private Equity, Public Companies and Securities

Whistleblowers, Dodd-Frank and Sarbanes-Oxley

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The Dodd-Frank Act and the Sarbanes-Oxley Act both have provisions for whistleblowers.  Public companies need to be familiar with all of these provisions. The Dodd-Frank Act provides that if a “whistleblower” provides “original information” in certain judicial or administrative actions, the whistleblower may be entitled to as much as 10... Read More

Topics: Employment, Litigation, Public Companies and Securities

Dodd-Frank and Litigation

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The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) was signed into law by President Obama on July 21, 2010. Referred to by many as the most sweeping financial reform legislation since the 1930s, the Dodd-Frank Act is likely to have a significant impact across the spectrum of... Read More

Topics: Litigation