Hedge Funds › Dodd-Frank Wall Street Reform and Consumer Protection Act

News & Analysis as of May 19, 2013

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Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues

Hedge Funds And Private Equity Groups On SEC Examination Priority List

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 2/25/2013

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

CFTCs Gensler Says Hedge Funds May Skirt Trade Rules

by Elan Mendel | Shipkevich PLLC on 2/18/2013

Gary Gensler, chairman of the U.S. Commodity Futures Trading Commission (CFTC), stated that banks may be allowing hedge funds avoid rules meant to reduce market risks by routing trades through overseas offices. The top U.S....more

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/28/2012

In This Issue: Non-Enforcement Matters: - New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program - FINRA Rule 5123 Revisited Enforcement Matters: - SEC Accuses...more

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 12/1/2012

In This Issue: Non-Enforcement Matters - SEC Approves New FINRA Rule on Private Placement Offerings - Private Fund Advisers Come Into Compliance With Dodd-Frank Requirements Enforcement Matters - ...more

The Volcker Rule’s Impact on Foreign Banking Organizations

by Morrison & Foerster LLP on 6/22/2012

The Volcker Rule, as embodied in the Dodd-Frank Act and reflected in proposed regulations, generally prohibits “banking entities” from engaging in proprietary trading and from investing in or sponsoring private equity and...more

Volcker Rule Conformance Period Clarified

by Katten Muchin Rosenman LLP on 4/25/2012

The Federal Reserve Board on April 19 clarified that an entity covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the so-called Volcker Rule, has the full two-year period provided by...more

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

by MarketsReformWiki on 2/14/2012

More video at MarketsWiki.tv Bart Mallon is a partner and co-founder of Cole-Frieman & Mallon, a San-Francisco-based law firm specializing in hedge fund and alternative investment legal services. His areas of...more

"CFTC Proposes Regulations to Implement the Volcker Rule"

by Skadden, Arps, Slate, Meagher & Flom LLP on 2/3/2012

On January 11, 2012, the Commodity Futures Trading Commission (CFTC) voted 3-2 to propose regulations to implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act),...more

Insights Special Edition: "Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals"

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/19/2011

Dear Clients and Friends: In October, federal agencies proposed two new sets of regulations under the Dodd-Frank Act. The proposals — to implement the Volcker Rule and to create standards to designate certain nonbanks...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: The Proposed Regulations and Insurance Company...

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

An insurance company is a “covered banking entity” if it controls or is affiliated with an insured depository institution (as defined in Section 3(c) of the Federal Deposit Insurance Act), which includes any bank, thrift,...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Hedge Fund and Private Equity Fund Sponsorship...

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

The Volcker Rule prohibits a banking entity from sponsoring or investing in a hedge fund or private equity fund, subject to certain exceptions. The proposed regulations expand the definitions of “hedge fund” and “private...more

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: An Introduction to the Proposed Regulations...

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/17/2011

On October 11 and 12, 2011, the Office of the Comptroller of the Currency, Department of the Treasury (OCC); the Board of Governors of the Federal Reserve System (Federal Reserve); the Federal Deposit Insurance Corporation...more

Dodd-Frank Update: New Private Fund Rules Released

by Meyers & Heim LLP on 11/4/2011

Update on the new rules governing private funds under Dodd-Frank....more

White Paper: Impact of Dodd-Frank on Investment Advisers

by Wahab & Medenica LLC on 10/12/2011

On June 22, 2011, the Securities and Exchange Commission ("SEC") adopted final rules under the Private Fund Investment Advisers Registration Act of 2010 (the “Act”), contained in the Dodd-Frank Wall Street Reform and Consumer...more

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Hedge Funds › Dodd-Frank Wall Street Reform and Consumer Protection Act

Hedge Funds And Private Equity Groups On SEC Examination Priority List

CFTCs Gensler Says Hedge Funds May Skirt Trade Rules

A Compilation of Enforcement and Non-Enforcement Actions - December 28, 2012

A Compilation of Enforcement and Non-Enforcement Actions - November 30, 2012

The Volcker Rule’s Impact on Foreign Banking Organizations

Volcker Rule Conformance Period Clarified

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

"CFTC Proposes Regulations to Implement the Volcker Rule"

Insights Special Edition: "Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals"

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: The Proposed Regulations and Insurance Company...

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: Hedge Fund and Private Equity Fund Sponsorship...

"Insights Special Edition: Dodd-Frank Rulemaking: Volcker Rule and SIFI Proposals: An Introduction to the Proposed Regulations...

Dodd-Frank Update: New Private Fund Rules Released

White Paper: Impact of Dodd-Frank on Investment Advisers

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues [Video]

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