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

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 private equity groups.  While many of the concerns are not new, the presentation is a useful summary of areas of SEC focus. Key areas of focus […] 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

Examples of Merger Agreement Provisions Addressing Attorney-Client Privilege After Great Hill

Litigation, Private Equity In Great Hill Equity Partners IV v. SIG Growth Equity Fund I, Del. Ch., C.A. No. 7906-CS (Nov. 15, 2013), the Delaware Court of Chancery held that the target’s attorney-client... Read more →

by   |   January 28, 2014

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SEC Issues Guidance on Unbundling of Proxy Proposals

Public Companies and Securities, Uncategorized Exchange Act Rule 14a-4(a)(3) concerns the “unbundling” of separate matters that are submitted to a shareholder vote by a company or any other person soliciting proxy... Read more →

by   |   January 24, 2014