The Dodd-Frank Wall Street Reform and Consumer Protection Act contains several provisions that will have a significant impact on investment advisors and removes some key exemptions from the requirement to register as an investment advisor. Dodd-Frank also contains a “private fund” definition, which is a keystone for a number of... Read More
Dodd-Frank subjects the over-the-counter derivatives market in energy and other commodities to an expansive new regulatory regime to be placed under the jurisdiction of the Commodity Futures Trading Commission. Energy traders now face new capital and margin requirements, reporting and recordkeeping obligations, and position limits with respect to energy contracts... Read More
The Dodd-Frank Act provides a monetary incentive for whistleblowers that provide the SEC with useful information. The Act includes parallel non-retaliation provisions for whistleblowers. As a result, human resource professionals need to be aware of the ramifications on their internal policies. Public companies will also have to implement clawback policies... Read More
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
The Dodd-Frank Act looks like it will affect compensation and benefits law in three main areas: Executive and incentive compensation, including new disclosure and corporate governance requirements. Use of stable value funds, hedging arrangements and swaps in retirement plans. Regulation of vendors servicing retirement and other plans. A few initial... Read More