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

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 senior partner who charged personal expenses to the funds. Apollo did not admit or deny the SEC’s findings.  According to the SEC: Apollo entered into certain monitoring […] 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

Legislation Amending Volcker Rule Passes in House

Banking, Investment Advisers The Investor Clarity and Bank Parity Act (HR 4096) passed in the U.S. House of Representatives. The Volcker Rule adopted by the regulators limited the ability of bank holding... Read more →

by   |   April 27, 2016

Brokaw Act to Increase Transparency of Activist Hedge Funds

Investment Advisers, M&A, Public Companies and Securities U.S. Senators Tammy Baldwin (D-WI) and Jeff Merkley (D-OR) introduced legislation to increase transparency and strengthen oversight of activist hedge funds. According to the... Read more →

by   |   March 21, 2016