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 »

Dodd-Frank Investment Advisers

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

Investment Advisers The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain regulations applicable to investment advisers. Common deficiencies noted during the exams are as follows: Form ADV Annual Renewal and Updates: Failure to file an annual updating amendment to Form ADV […] Read more →

by   |   September 8, 2016

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SEC Updates Form ADV

Investment Advisers, Private Equity The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. You can find our analysis on the proposed rules... Read more →

by   |   August 25, 2016

SEC Busts Apollo for Disclosure and Supervisory Failures

Investment Advisers, Litigation, M&A, Private Equity The SEC charged four private equity fund advisers affiliated with Apollo Global Management for misleading fund investors about fees and a loan agreement and failing to supervise a... Read more →

by   |   August 23, 2016

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SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans

Investment Advisers, Private Equity In its third rulemaking in two days without holding a meeting, the SEC proposed a new rule that would require registered investment advisers to adopt and implement written... Read more →

by   |   June 28, 2016