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 2016 Examination Priorities for Private Equity and Hedge Funds

Investment Advisers, Private Equity The SEC Office of Compliance Inspections and Examinations, or OCIE, has published its list of 2016 examination priorities. Matters of interest for private equity and hedge fund sponsors include: OCIE will continue conducting focused, risk-based examinations of selected registered investment advisers that it has not yet examined. OCIE will examine private fund advisers, maintaining a […] Read more →

by   |   January 14, 2016

SEC Warns on Outsourced Chief Compliance Officers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled “Examinations of Advisers and Funds That Outsource Their... Read more →

by   |   November 30, 2015

SEC Nabs Private Equity Sponsor for Conflicting Investments

Investment Advisers, Litigation, Private Equity JH Partners, LLC, a private equity sponsor, recently agreed to settle SEC charges.  According to the SEC the proceedings arose from negligent breaches of fiduciary duty by JHP,... Read more →

by   |   November 25, 2015

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SEC Preparing to Move Forward on Accredited Investor Definition

Broker-Dealer, Crowdfunding, Investment Advisers, Public Companies and Securities SEC Chair Mary Jo White gave testimony before the House of Representatives Committee on Financial Services.  Ms. White stated the staff is “engaged in a comprehensive... Read more →

by   |   November 22, 2015