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 »

Latest Dodd-Frank Posts

Group Publishes Shareholder Engagement Protocol

Public Companies and Securities The Shareholder-Director Exchange, or SDX, is a working group of independent directors and representatives from some of the largest and most influential long-term institutional investors. SDX participants came together to discuss shareholder-director engagement and to use their collective experience to develop the SDX Protocol, a set of guidelines to provide a framework for shareholder-director... Read more →

by   |   February 3, 2014

UN Report Indicates Continued Smuggling of Conflict Minerals in DRC Region

Public Companies and Securities The Final Report of the Group of Experts on the Democratic Republic of the Congo includes information about the status of trade in conflict minerals, and other information about... Read more →

by   |   February 2, 2014

SEC Highlights Hedge Fund and Private Equity Concerns at Compliance Seminar

Investment Advisers, Private Equity On January 30, 2014, the SEC held a compliance outreach seminar for investment advisers.  Much of the SEC presentation focused on concerns related to advisers to hedge funds and... Read more →

by   |   January 30, 2014

SEC Alert on Investment Advisors’ Due Diligence on Hedge Funds and Private Equity

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has issued a Risk Alert on the due diligence processes that investment advisers use when they recommend or... Read more →

by   |   January 28, 2014