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 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

SEC logo

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

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

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