Where We Are Today with the Dodd-Frank Act

May 2011


Most in the financial industry will remember July 21, 2010 – for that is when Congress passed
the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”).
Within its framework are requirements for regulators to set forth new industry rules and
guidelines for nearly every facet within the financial industry. This includes registration of
advisers to private funds, corporate governance, enactment of the whistleblower program, tighter
regulations for derivatives, asset-backed securities, and much more. This risk management
update highlights some of the key provisions as they stand today which may likely impact
investment adviser, broker-dealer and private fund companies.


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