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 Private Equity

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

SEC logo

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 business continuity and transition plans. The proposed rule is designed to ensure that investment advisers have plans in place to address operational and other risks related to […] Read more →

by   |   June 28, 2016

hedge fund

Pending Legislation Would Streamline Regulation of Private Equity

M&A, Private Equity On June 16, 2016, the House Financial Services Committee approved the Investment Advisers Modernization Act of 2016 (H.R. 5424) as part of a package of several economic growth... Read more →

by   |   June 17, 2016

private equity

SEC Charges Private Equity Advisor for Acting as an Unregistered Broker

M&A, Private Equity The SEC has charged a registered private equity fund adviser and its principal for receiving transaction-based compensation for the provision of brokerage services in connection... Read more →

by   |   June 1, 2016

enforcement

SEC Enforcement Chief Gives Update on Private Equity

Litigation, M&A, Private Equity Andrew Ceresney, Director, SEC Division of Enforcement, gave his views on the SEC private equity enforcement initiative at a conference. Mr. Ceresney set forth the various... Read more →

by   |   May 15, 2016