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A MANAGERS-ONLY EVENT RSVP NOW ! Thursday, October 27, 2011 3:30 – 4:00pm Registration 4:00 – 5:30pm Presentation 5:30 – 6:30pm Reception Pillsbury’s San Francisco office 50 Fremont Street San Francisco, CA 94105 How can hedge fund managers that seek more efficient methods for raising capital avail themselves of…
Written by Jay B. Gould and Michael Wu On October 9, 2011 Governor Brown signed into law Senate Bill 398 which is intended to clarify the current law regarding placement agents and lobbyist requirements. In 2009, AB 1584 was enacted. AB 1584 imposed disclosure requirements for investment placement agents associated…
Written by Michael Wu On September 29, 2011, the SEC’s examination staff issued a Risk Alert warning of significant concerns regarding trading through sub-accounts, and offered suggestions to help securities industry firms address these risks. In the alert, the staff identified certain risks associated with the master/sub-account trading model such…