News & Analysis as of

Private Right of Action Dodd-Frank Wall Street Reform and Consumer Protection Act

Morgan Lewis

CFTC Proposes to Allow Private Lawsuits for Transactions in RTOs and ISOs

Morgan Lewis on

The proposal could create uncertainty for market participants and raise jurisdictional questions about which regulator should police power markets....more

Carlton Fields

Circuits Split on Scope of Dodd-Frank Whistleblower Protection

Carlton Fields on

The so-called “whistleblower-protection” provision of the Dodd-Frank Act created a private right of action for a “whistleblower” who is subjected to retaliation by his or her employer. The statute elsewhere defines...more

Carlton Fields

Gatekeeper Liability of Inside Asset Management Attorneys "Appearing" Before the SEC

Carlton Fields on

This article addresses the liability of inside attorneys at asset management companies— mutual fund sponsors, investment advisers, broker-dealers, life insurance companies—as gatekeepers under rules of the US Securities and...more

Dechert LLP

Credit Risk Retention Final Rule: Enforcement and Compliance Considerations

Dechert LLP on

Predicting enforcement of the final rule regarding U.S. risk retention is an uncertain task. This OnPoint is designed to provide guidance on possibilities related to consequences of non-compliance, enforcement approaches by...more

Manatt, Phelps & Phillips, LLP

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

Audit committees must aid management in navigating an increasingly complex regulatory framework. Two recent developments arising from the passage and implementation of the Dodd-Frank Act have led to further challenges for...more

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