Industry Comment

The Dodd-Frank Wall Street Reform and Consumer Protection Act Update

Thursday, January 27, 2011

Time ticks by towards 21 July 2011, which is now under six months away.  However, the detail that will help determine the extent of necessary action is still to come.  The message remains, however, that you cannot wait until absolute clarity exists and preparations should have commenced, or should be starting soon, towards compliance with the most likely outcome.  NB even certain exempt reporting advisors have some obligations. Read more...

The Dodd-Frank Wall Street Reform and Consumer Protection Act

Wednesday, December 01, 2010

Many private equity advisors will be brought under SEC oversight due to the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank).  Apart from the few who may gain exemption it will require registration with the SEC and for some, significant changes to their operations, record keeping and disclosures. Read more...