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

“Red Flags” of Market Manipulation and Effective Compliance Programs

Fallon.Robert.web

Energy Last week current and former supervisory personnel in the Enforcement Divisions of the Commodity Futures Trading Commission and Federal Energy Regulatory Commission spoke – at an Energy Bar luncheon – about (1) the “red flags” of possible manipulation and (2) effective compliance programs in this more aggressive federal enforcement environment. These red flags do not […] Read more →

by   |   November 13, 2013

SEC logo

Hedge Fund Administrator Enters Into First Individual Deferred Prosecution Agreement with SEC

Investment Advisers, Litigation, Private Equity, Uncategorized The SEC announced a deferred prosecution agreement, or DPA, with a former hedge fund administrator who helped the agency take action against a hedge fund manager who allegedly... Read more →

by   |   November 12, 2013

handshake

Who are the Swap Dealers?

Derivatives, Energy We recently passed the first rolling 12-month period for determining which entities will surpass the CFTC’s de minimis swap dealing levels and thus be “swap dealers” under... Read more →

by   |   November 11, 2013

Scale and Gavel

SEC Charges Manager of Private Equity Fund With Violation of the Custody Rule

Investment Advisers, Private Equity The SEC has settled an administrative action with the managing member of a fund of private equity funds.  In an examination the SEC staff learned that the  manager was violating... Read more →

by   |   November 11, 2013