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Dodd-Frank and Minnesota Investment Advisers

The Interaction Between Dodd-Frank and Minnesota Regulation of Investment Advisers Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following rules applied under the Investment Advisers Act of 1940: The Investment Advisers Act precluded investment advisers with less than $25 million in assets under management from... Read More

Topics: Private Equity, Public Companies and Securities

Whistleblowers, Dodd-Frank and Sarbanes-Oxley

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The Dodd-Frank Act and the Sarbanes-Oxley Act both have provisions for whistleblowers.  Public companies need to be familiar with all of these provisions. The Dodd-Frank Act provides that if a “whistleblower” provides “original information” in certain judicial or administrative actions, the whistleblower may be entitled to as much as 10... Read More

Topics: Employment, Litigation, Public Companies and Securities

Dodd-Frank and Corporate Governance and Public Companies

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The Dodd-Frank Act will significantly impact the proxy process and the annual meeting with nonbinding say-on-pay votes, additional disclosures regarding executive compensation and permitting shareholders to include director nominees in a company proxy statement. The Act will also significantly affect compensation by the introduction of mandatory clawbacks of incentive compensation... Read More

Topics: Public Companies and Securities