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

Providing Audited Financial Statements Late Leads to Charges of Custody Rule Violations

hedge fund

Litigation, Private Equity The SEC announced charges against an investment advisory firm and three of its top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or securities. Advisory firms with custody of private fund assets can comply with the custody rule by distributing audited […] Read more →

by   |   October 29, 2014

private equity

SEC Charges Private Equity Sponsor for Misallocation of Expenses on Integrated Portfolio Companies

Investment Advisers, Private Equity, Uncategorized The SEC charged a private equity sponsor with breaching its fiduciary duty to a pair of private equity funds by sharing expenses between a company in one’s portfolio and a... Read more →

by   |   September 22, 2014

accountant2

SEC Examinations of Newly Registered Private Fund Advisers Wind Down

Investment Advisers, Private Equity In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly... Read more →

by   |   September 11, 2014

private equity

SEC Reports on Use of Form PF Data

Investment Advisers, Private Equity The SEC has issued its annual report on use of Form PF data. In its  examination and enforcement programs regarding registered investment advisers that manage private funds, the... Read more →

by   |   August 18, 2014