:
Updated:
SEC Adopts 13D/13G Amendments
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Proposes ESG Rule
:
Updated:
SEC Adopts Rules to Require Electronic Filing for Investment Advisers and Institutional Investment Managers
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Division of Examinations Announces 2022 Examination Priorities
:
Updated:
SEC Proposed Rules to update beneficial ownership reporting
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Proposes Amendments to Enhance Private Fund Reporting
By Pillsbury's Investment Fund Law Team
:
Updated:
Gensler SEC Expands Scope of Insider Trading Enforcement
By Pillsbury's Investment Fund Law Team
:
Updated:
Dollar Threshold Change for “Qualified Client” Definition under the Investment Advisers Act
:
Updated:
SEC Adopts Modernized Marketing Rule for Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
Commodity Pool Operators: Final Rule Amending Form CPO-PQR
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Expands Universe of “Accredited Investors”
By Pillsbury's Investment Fund Law Team
:
Updated:
Future Implications for PPP and Main Street Lending Borrowers
By Pillsbury's Investment Fund Law Team
:
Updated:
SBA Issues PPP Forgiveness Regulations
By Pillsbury's Investment Fund Law Team
:
Updated:
Key Changes to Paycheck Protection Program
By Pillsbury's Investment Fund Law Team
:
Updated:
Mitigation of Investment Adviser Business Interruption and Regulatory Non-Compliance Risks Related to COVID-19
:
Updated:
Annual Compliance Deadlines
By Pillsbury's Investment Fund Law Team
:
Updated:
Pillsbury Perspectives on the Coronavirus
By Pillsbury's Investment Fund Law Team
:
Updated:
The California Consumer Privacy Act
:
Updated:
California Mandates Employment Classification for Many Workers, Codifying Dynamex’s ABC Test
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC and FINRA Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities
By Pillsbury's Investment Fund Law Team
:
Updated:
Are Your Clients Safe in the Cloud?
:
Updated:
REMINDER – UPCOMING COMPLIANCE FILING DEADLINES
By Pillsbury's Investment Fund Law Team
:
Updated:
OCIE 2019 Examination Priorities
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder: 2019 IARD Account Renewal Obligations For Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
California Legislation – Women on Public Boards
By Pillsbury's Investment Fund Law Team
:
Updated:
California Enacts Mini-GDPR Effective January 1, 2020
By Pillsbury's Investment Fund Law Team
:
Updated:
The Joke’s on Us! – SEC Demonstrates Sense of Humor and Serious Lessons about Fraudulent Coin Offerings
:
Updated:
Investment Funds Authority Ildiko Duckor Demystifies Quant Funds and Their Risks
By Pillsbury's Investment Fund Law Team
:
Updated:
The Future of the ERISA Fiduciary Rule
By Pillsbury's Investment Fund Law Team
:
Updated:
REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS—WHAT YOU NEED TO KNOW
By Pillsbury's Investment Fund Law Team
:
Updated:
Initial Coin Offerings (ICOs): The Current State of Play
By Pillsbury's Investment Fund Law Team
:
Updated:
HFM US Hedge Fund Performance Awards 2017
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Risk Alert! Most Frequent Advertising Rule Compliance Issues by Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
T+2 Settlement Becomes Mandatory for Most Broker-Dealer Transactions
By Pillsbury's Investment Fund Law Team
:
Updated:
Girls Who Invest – Changing the Face of Asset Management
By Pillsbury's Investment Fund Law Team
:
Updated:
DOL Fiduciary Rule—Recommended Action for Private Fund Managers
By Pillsbury's Investment Fund Law Team
:
Updated:
CFTC Unanimously Approves Amendments to Recordkeeping Requirements
By Pillsbury's Investment Fund Law Team
:
Updated:
New Due Date for “FBAR” Filings
:
Updated:
Pillsbury’s London Asset Management Attorney Visiting San Francisco
By Pillsbury's Investment Fund Law Team
:
Updated:
More than 100, More than Finance: The Past, Present and Possibilities of Our Organization
By Pillsbury's Investment Fund Law Team
:
Updated:
U.S. and Global Regulators Ease March 1 Deadline for Swap Variation Margin Compliance
:
Updated:
REGISTERED FIRMS: ANNUAL COMPLIANCE OBLIGATIONS – What You Need To Know
By Pillsbury's Investment Fund Law Team
:
Updated:
Treasury Mandatory Survey Form TIC-SHC Due Soon— Fund Managers Should Assess Foreign Securities Holdings
By Pillsbury's Investment Fund Law Team
:
Updated:
HFMWEEK AWARDS PILLSBURY INVESTMENT MANAGEMENT PRACTICE FOR SERVICE TO HEDGE FUND STARTUPS
By Pillsbury's Investment Fund Law Team
:
Updated:
New Law Mandates Disclosure of Alternative Fund Fees By California Public Pensions
By Pillsbury's Investment Fund Law Team
:
Updated:
Higher Qualified Client Net Worth Threshold Effective August 15, 2016
By Pillsbury's Investment Fund Law Team
:
Updated:
Investment Adviser Sanctioned for Inadequate Trading Away Disclosure
By Pillsbury's Investment Fund Law Team
:
Updated:
PILLSBURY BREAKFAST EVENT CONNECTS WOMEN ENTREPRENEURS WITH WOMEN INVESTORS
By Pillsbury's Investment Fund Law Team
:
Updated:
Rising Hedge Funds Stars Discuss Keys to Success
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC wants Registered Advisers to Adopt Written Business Continuity and Transition Plans
By Pillsbury's Investment Fund Law Team
:
Updated:
CFTC Asserts Broader Jurisdiction over Digital Asset Exchanges, Levies $75,000 Fine
By Pillsbury's Investment Fund Law Team
:
Updated:
Four Things You Need to Know About the Mauritius-India Protocol
:
Updated:
SEC Issues Guidance Expanding the Private Fund and Venture Capital Fund Adviser Exemptions
:
Updated:
Update Your Subscription Documents – FATCA and CRS
:
Updated:
2016 Fintech Risk Management and Compliance Roundtable
By Pillsbury's Investment Fund Law Team
:
Updated:
Negotiating Cybersecurity Contractual Protections for Retirement Plans
By Pillsbury's Investment Fund Law Team
:
Updated:
Sun Capital Court Finds that Common Industry Practices Exposed PE Funds to Pension Plan Liabilities
:
Updated:
Hedge Funds Under Microscope by SEC’s New Office of Risk and Strategy — Never-Before-Examined Hedge Funds Should be on Alert
:
Updated:
CA Legislation Would Require Pensions to Disclose Fees and Expenses of Alternative Investments
By Pillsbury's Investment Fund Law Team
:
Updated:
CFTC Amends the Trade Option Exemption to Eliminate Reporting and Recordkeeping Requirements for Certain End-Users
By Pillsbury's Investment Fund Law Team
:
Updated:
Registered Firms: Annual Compliance Obligations—What You Need To Know
:
Updated:
SEC Division of Investment Management Director David Grim’s Remarks to PLI Investment Management Institute 2016
:
Updated:
The CCO – the SEC’s Target or Ally in Enforcement and Examinations?
:
Updated:
SEC Reveals Wide-Ranging 2016 Examination Priorities
:
Updated:
Spoofing Is No Joke: Prosecutors Clamp Down on High-Frequency Traders
:
Updated:
CFTC Issued Preliminary Report on Swap Dealer De Minimis Exception
By Pillsbury's Investment Fund Law Team
:
Updated:
Changes in the IRS Partnership Audit Rules – Action You Need to Take Now
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Charges Founder and Bitcoin Mining Companies with Fraud
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Risk Alert: Outsourced Chief Compliance Officers
:
Updated:
Fintech Round Table
By Pillsbury's Investment Fund Law Team
:
Updated:
Senate Passes Cybersecurity Information Sharing Bill Long Sought by Industry
By Pillsbury's Investment Fund Law Team
:
Updated:
The Dos and Don’ts of an SEC Examination
:
Updated:
SEC Finally Adopts “Regulation Crowdfunding”
By Pillsbury's Investment Fund Law Team
:
Updated:
More Investment Advisers on the Hook for Failure to Disclose Conflicts of Interest
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Adopts Final Crowfunding Regulation
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder: 2016 IARD Account Renewal Obligations For Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
AIFMD Development – No “Passport” in Sight for the US
By Pillsbury's Investment Fund Law Team
:
Updated:
An Investment in Client Service Recognized
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Charges Investment Adviser for Failure to Disclose Change in Investment Strategy
:
Updated:
CA Treasurer Calls for Legislation to Require Disclosure of Private Equity Fees
By Pillsbury's Investment Fund Law Team
:
Updated:
Warning to Fund Counsel – When It Comes to Conflicts, Leave Nothing Undisclosed
By Pillsbury's Investment Fund Law Team
:
Updated:
Pillsbury Partner to Speak on Cybersecurity
By Pillsbury's Investment Fund Law Team
:
Updated:
Filing Deadline for Form BE-180 Is November 1, 2015
:
Updated:
Hedge Fund General Counsel and Compliance Officer Summit
By Pillsbury's Investment Fund Law Team
:
Updated:
FinCEN Proposes to Regulate Investment Advisers under the Bank Secrecy Act
By Pillsbury's Investment Fund Law Team
:
Updated:
FinCEN Proposes New AML Regulations for Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
PILLSBURY PARTNER QUOTED IN FUNDFIRE
By Pillsbury's Investment Fund Law Team
:
Updated:
Advisers Get Ready – New AML Requirements May Be on the Way
By Pillsbury's Investment Fund Law Team
:
Updated:
Citco Ranks #1 Fund Administrator in Q2 2015
By Pillsbury's Investment Fund Law Team
:
Updated:
Treasury Imposes Toll Charge on Some Transfers of Assets by U.S. Taxpayers to Partnerships with Their Foreign Affiliates
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Establishes a Registration Framework for Dealers and Major Participants in the Security-Based-Swap Market
By Pillsbury's Investment Fund Law Team
:
Updated:
Proposed Regulations Target Management Fee Waivers
:
Updated:
A Successful Evening for Pillsbury and 100 Women in Hedge Funds
By Pillsbury's Investment Fund Law Team
:
Updated:
Consultant or Employee? Fund Managers Should Re-Examine the Status of their Consultants in Light of the DOL’s New Interpretation
By Pillsbury's Investment Fund Law Team
:
Updated:
Thirteen States Call for More Transparency In Private Equity Expense Disclosures
:
Updated:
Proposed Treasury Regulations May End Private Equity Management Fee Waivers
:
Updated:
SEC Expresses Support for Compliance Professionals at Kick-Off of Compliance Outreach Program for Broker-Dealers
:
Updated:
100 Women in Hedge Funds presents HOT topics in Compliance: Conflicts of Interests in Account Management and more
By Pillsbury's Investment Fund Law Team
:
Updated:
Cyber Crimes Target Hedge Funds
:
Updated:
REMINDER: FBAR FinCEN Report 114 Filing Deadline
By Pillsbury's Investment Fund Law Team
:
Updated:
BE-10 Deadline Extended
By Pillsbury's Investment Fund Law Team
:
Updated:
Fintech and Finance: How to be Part of the Fintech Investment Boom
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Proposes Rules to Modernize Reporting by Investment Advisers and Investment Companies
:
Updated:
Have you filed your BE-10? Deadline is approaching
:
Updated:
Cybersecurity Guidance Issued by the SEC’s Division of Investment Management
:
Updated:
HEDGE FUND TITANS FALL AT HELM OF SEC CHARGES FOR IMPROPER EXPENSE ALLOCATIONS
By Pillsbury's Investment Fund Law Team
:
Updated:
INVESTMENT ADVISER CONFLICTS OF INTEREST – BlackRock Censured; Compliance Officer Personally Liable
By Pillsbury's Investment Fund Law Team
:
Updated:
Department of Labor Ups Fiduciary Responsibility in ERISA Proposal
:
Updated:
Five Things to Know about New Jersey’s Taxation of Convertible Virtual Currency
:
Updated:
New Leadership for Pillsbury’s Investment Funds & Investment Management Team
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Updates Personal Gift and Entertainment Guidance for Fund Advisory
By Pillsbury's Investment Fund Law Team
:
Updated:
Breaking All the Rules – Wealth Management Group Under Cease and Desist Order
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder: Required annual Form ADV amendment by March 31, 2015
:
Updated:
Insider Trading, Once Removed
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder – March 2, 2015 – Annual CFTC Exemption Affirmation Deadline
By Pillsbury's Investment Fund Law Team
:
Updated:
2015 Securities and Exchange Commission Examination Priorities
By Pillsbury's Investment Fund Law Team
:
Updated:
Cybersecurity Alert – SEC Provides Information on Policy and Safeguards from Cyber Threats
By Pillsbury's Investment Fund Law Team
:
Updated:
2015 SEC Examination Priorities
By Pillsbury's Investment Fund Law Team
:
Updated:
2015 Annual Compliance Obligations for Registered Firms – What You Need to Know
:
Updated:
Say Hello to the SEC’s Digital Currency Working Group
:
Updated:
Client Alert: The Second Circuit Raises the Bar for Insider Trading Convictions
:
Updated:
CFTC Enters Consent Order for Permanent Injunction Against AlphaMetrix Group
:
Updated:
What Will happen to the Hedge Fund Industry if we Experience a 2008 Type Market Decline?
:
Updated:
Servicing Clients Across Borders Carries Special Risks
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder: 2015 IARD Account Renewal Obligations For Investment Advisers
:
Updated:
SEC Brings Custody Rule Enforcement
By Pillsbury's Investment Fund Law Team
:
Updated:
China’s New Foreign Exchange Control Rule on Outbound and Round-Trip Investment
:
Updated:
When Sharing Isn’t Caring – SEC Charges Private Equity Fund Adviser for Sharing Expenses Between Two Portfolio Companies
By Pillsbury's Investment Fund Law Team
:
Updated:
CIOs Spur Revenue Generation Through Smart Cybersecurity
:
Updated:
SEC Enforcement Against Short Sellers Continues
By Pillsbury's Investment Fund Law Team
:
Updated:
CFTC Exemptive Relief Harmonizes Regulations 4.7(b) and 4.13(a)(3) with Rule 506(c) of Reg. D and Rule 144A
By Pillsbury's Investment Fund Law Team
:
Updated:
Advisory Alert! – Repatriation of Funds Out of China
:
Updated:
Cyber Security and Investing: Steps to Help Avoid a Digital Disaster
:
Updated:
SEC Enforcement Update – A busy (and entertaining) week, July 28 – August 1, 2014
By Pillsbury's Investment Fund Law Team
:
Updated:
House of Representatives Passes SAFETY Act Amendment – Clarifies that liability protections are available for cyber attacks
:
Updated:
Money Market Fund Reform
By Pillsbury's Investment Fund Law Team
:
Updated:
Size Doesn’t Matter: Insider Trading Charges for $11k Profit
By Pillsbury's Investment Fund Law Team
:
Updated:
Private Fund Managers as Broker-Dealers and How to Avoid It
By Pillsbury's Investment Fund Law Team
:
Updated:
Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know
By Pillsbury's Investment Fund Law Team
:
Updated:
Precious Metals? Not so much. CFTC Wins Fraud Trial
By Pillsbury's Investment Fund Law Team
:
Updated:
CFTC Revises CPO Delegation Process: No-Action Letter
By Pillsbury's Investment Fund Law Team
:
Updated:
Get Registered! The SEC Enforcement Division Cracks Down on Unregistered Brokers
By Pillsbury's Investment Fund Law Team
:
Updated:
Insider Trading – The Friends and Family Edition
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC to Examine Advisers and Brokers for Cybersecurity Preparedness
By Pillsbury's Investment Fund Law Team
:
Updated:
Financial Markets Association’s 2014 Securities Compliance Seminar- April 23-25
:
Updated:
New Custody Compliance Tasks for California Registered Advisers Effective April 1
:
Updated:
FINRA Proposes Broker Hiring Bonus Disclosure Rule to SEC
By Pillsbury's Investment Fund Law Team
:
Updated:
The CFTC and Japan’s FSA Sign Cross-Border Agreement
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Risk Alert: Selecting Alternative Investments and Their Managers
By Pillsbury's Investment Fund Law Team
:
Updated:
California’s New LLC Law: Next Steps for California LLCs
:
Updated:
Reminder- March 3rd Deadline for Annual CFTC Exemption Affirmation
By Pillsbury's Investment Fund Law Team
:
Updated:
Marketing Your Fund To And Through Consultants And Gatekeepers
:
Updated:
#TweetedIntoTrouble
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC-Registered Investment Adviser Agrees to $21 Million Penalty for Illegal Cross Trades and a Coding Error
By Pillsbury's Investment Fund Law Team
:
Updated:
The Volcker Rule–A Suggested Approach for Banking Entities When Analyzing its Impact on Business Models, Activities and Transactions
:
Updated:
Amended TIC Form B – Information for U.S. Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
New FINRA Supervision Rules Approved by SEC
By Pillsbury's Investment Fund Law Team
:
Updated:
2014 Examination Priorities Published by the SEC
By Pillsbury's Investment Fund Law Team
:
Updated:
ANNUAL COMPLIANCE OBLIGATIONS–WHAT YOU NEED TO KNOW, January 7, 2014
:
Updated:
Canada Imposes Chaperone Requirement for Investment Sub-Advisers
:
Updated:
SEC Charges London-based Hedge Fund Adviser with Valuation Failures
By Pillsbury's Investment Fund Law Team
:
Updated:
Credit Portfolio Management in a Turning Rates Environment
:
Updated:
Prosecution Deferred May Still Be Prosecution
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Sanctions Three Advisers for Custody Rule Violations
By Pillsbury's Investment Fund Law Team
:
Updated:
Reminder: 2014 IARD Account Renewal Obligations For Investment Advisers
:
Updated:
Pillsbury Honored For Hedge Fund Work
:
Updated:
Stop Violating the Advisers Act Again, and Again
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Issues Proposal on Crowdfunding
By Pillsbury's Investment Fund Law Team
:
Updated:
Here’s Why The Canadian Hedge Fund Industry Is So Small
:
Updated:
New Quarterly Filing Requirement for CTAs
By Pillsbury's Investment Fund Law Team
:
Updated:
Keeping it in the Fraudulent Family
By Pillsbury's Investment Fund Law Team
:
Updated:
23 Firms Caught in SEC Short Selling Enforcement Snare
By Pillsbury's Investment Fund Law Team
:
Updated:
Minimizing Anti-Corruption Deal Risk While Maximizing Returns on Venture Capital Investments
:
Updated:
Recent Regulation FD Enforcement Action Provides Lessons for Closed-End Funds
:
Updated:
Excellence In Investing: San Francisco
:
Updated:
SEC Risk Alert: Disaster Preparedness for Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
JOBS Act Update: Can the Genie go back in the Bottle?
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Submits First Annual Report to Congress Relating to the Use of Data Collected on Form PF
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Eases Hedge Fund Advertising Rules
:
Updated:
What Fund Managers Sometimes Forget About Cayman Funds
:
Updated:
The Securities and Exchange Commission Opens the Door for Hedge Fund Advertising
By Pillsbury's Investment Fund Law Team
:
Updated:
Admit It! SEC May Seek Admissions of Wrongdoing in Settlements
:
Updated:
Performance Fantasies Lead to SEC Enforcement Action
By Pillsbury's Investment Fund Law Team
:
Updated:
The SEC Proposes Rules To Reform The Way Money Market Funds Operate
By Pillsbury's Investment Fund Law Team
:
Updated:
Best Laid Plans Gone Awry: Practices for Rule 10b5-1 Trading Plans
:
Updated:
Lifting Ban on Hedge Fund Advertising
:
Updated:
Private Equity Fund Managers as Unregistered Broker Dealers – Sanctions and Rescission
By Pillsbury's Investment Fund Law Team
:
Updated:
JOBS Act Implementation Update
:
Updated:
SEC puts Hedge Fund Managers on Notice regarding Compensation Arrangements for Sales
By Pillsbury's Investment Fund Law Team
:
Updated:
A Conversation with the Regulators: A program for Fund Managers and Investment Advisors
:
Updated:
Q&A – Guiding Governance: Clarifying the Practice of Family Enterprise Governance
:
Updated:
SEC Hammers Private Equity Fund Manager
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Issues Additional Guidance Regarding the Custody Rule After Finding Wide Spread and Varied Non-Compliance By Investment Advisers
By Pillsbury's Investment Fund Law Team
:
Updated:
Supreme Court Finds No Fraud Exception to Five-Year Statute of Limitations for Government Lawsuits Seeking Civil Penalties
:
Updated:
Private Equity: Blindsided by the FCPA– Hedging Against Anti-Corruption Deal Risk
:
Updated:
SEC Examinations Target Private Equity and Hedge Fund Managers for 2013
By Pillsbury's Investment Fund Law Team
:
Updated:
Jay Gould on Starting a Hedge Fund in 2013
:
Updated:
FINRA Issues Voluntary Interim Form for Crowdfunding Portals
:
Updated:
ANNUAL COMPLIANCE OBLIGATIONS–WHAT YOU NEED TO KNOW, February 6, 2013
:
Updated:
Regulatory Challenges for Chief Compliance Officers
:
Updated:
Final FATCA Regulations Amplify Broad Sweep of Legislation for Securities and Banking Industry
:
Updated:
Jay Gould quoted on investor accreditation practices associated with the JOBS Act
:
Updated:
American Taxpayer Relief Act of 2012
:
Updated:
How Officers and Directors of Financial Intermediaries Can Avoid Personal Liability in the Post-Dodd-Frank Market
:
Updated:
19th Annual Alpha Hedge East Conference
:
Updated:
Pillsbury to Host Managers Only Program
:
Updated:
Dodd-Frank Protocol Carries Burdens and Benefits for Pension Plans
:
Updated:
NFA Guidance on Annual Affirmation of CPO/CTA Exemption
:
Updated:
Beware Fund Managers Seeking Capital from U.S. Investors (and vice versa)
:
Updated:
Limiting Private Equity Fund Exposure to the ERISA Obligations of Portfolio Companies
:
Updated:
Hold Your JOBS Act Horses
:
Updated:
California Adopts New Exemption–Should Fund Managers Still Register in California?
:
Updated:
NASAA President Criticizes New SEC Rule Allowing General Advertising
:
Updated:
SEC to Conduct “Presence Exams” of Newly Registered Investment Advisers
:
Updated:
Third Party Marketers Must File PPMs with FINRA
:
Updated:
Excellence In Investing: San Francisco
:
Updated:
Pillsbury meets with the CA Department of Corporations
:
Updated:
The JOBS Act: The JOBS Act Will Accelerate the Institutionalization of Hedge Funds
:
Updated:
SEC Releases Study on Financial Literacy While Retail Investors Wait for the Movie
:
Updated:
Hedge Fund Marketing Implications From New Survey Findings on Investment Beliefs
:
Updated:
Estate and Gift Tax Planning Opportunities Scheduled to “Sunset” on December 31, 2012
:
Updated:
CFTC Grants No-Action Relief for Exemption for CPOs and CTAs
:
Updated:
SEC Extends Compliance Date for Ban on Third-Party Solicitation under the Pay to Play Rule
:
Updated:
FINRA Issues Additional Guidance on New Suitability Rule
:
Updated:
Mutual Fund Lobby Trashes General Solicitation for Private Funds (Surprise!)
:
Updated:
“Stand Together, Fall Together”
:
Updated:
GREECE’S FORK
:
Updated:
Private Funds and the JOBS Act
:
Updated:
Pillsbury Welcomes New Partner
:
Updated:
JOBS Act Gives Confidential Review Option for U.S. Emerging Growth Company IPOs
:
Updated:
Hedge Fund Law Report on Form PF
:
Updated:
SEC and CFTC Adopt Rules Defining Swaps-Related Terms
:
Updated:
The JOBS Act and its Impact on Private Offerings and Private Funds
:
Updated:
JOBS Act Targets Smaller Business Capital Raising
:
Updated:
CFTC Eliminates Key CPO Registration Exemption – What does this Mean for Fund of Funds?
:
Updated:
Global Hedge Fund Summit
:
Updated:
2012 Annual Compliance Obligations: What You Need To Know
:
Updated:
HFMWeek: Disclosure Gets Closer
:
Updated:
Form PF: Questions and Answers
:
Updated:
Crowdfunding and Other Recent Legislative Initiatives Focused on Capital Raising and Job Creation
:
Updated:
SEC Relief: Registration for Certain Investment Advisers and Related Advisers
:
Updated:
Winning Over More Institutional Investors With Your Hedge Fund Marketing
:
Updated:
California and Massachusetts Propose Further Regulations
:
Updated:
New CFTC Final Rule: Registration of Swap Dealers and Major Swap Participants
:
Updated:
MFA Submits Rulemaking Petition on Rule 502 of Regulation D
:
Updated:
SEC Focuses on Investment Advisers’ Use of Social Media
:
Updated:
Upcoming Reporting Deadlines: TIC Form SLT and TIC Form SHC
:
Updated:
Readoption of California Emergency Regulation — Private Adviser Exemption
:
Updated:
Broker-Dealer Update: FINRA and the OCIE Release Guidance on Broker-Dealer Branch Inspections
:
Updated:
Review of The Year of Rabbit – Trends Involving Investors in China’s RMB Funds
:
Updated:
Reminder Re Form 13H Filing
:
Updated:
Three Investment Advisers Penalized by the SEC for Compliance Failures
:
Updated:
Accounting for Cybersecurity: SEC Guidance on Disclosures to Investors and Regulators
:
Updated:
Over $3.3 Million Charges Against Morgan Stanley Investment Management for Improper Fee Arrangement
:
Updated:
FINRA Proposes Rule to Require Additional Notice Filing and Delivery to Hedge Fund Investors
:
Updated:
San Diego-Based Investment Adviser and Its President Charged with Fraud
:
Updated:
Hedge Fund Marketing Boot Camp: Turn Your Audience Into Your Investors
:
Updated:
New DDQ Inquiry Spells Potential Liability for Fund Managers
:
Updated:
Reminder: 2012 IARD Account Renewal obligations for investment advisers
:
Updated:
SEC Approves Confidential Private Fund Systemic Risk Reporting
:
Updated:
In re Southern Peru Copper Corporation–What Steps does a Special Committee Have to Take?
:
Updated:
PILLSBURY HONORED FOR SERVICE TO HEDGE FUND INDUSTRY
:
Updated:
Proposed “Volcker Rule” Regulations Provide Banks a Broad Exemption for Liquidity Management
:
Updated:
Investment Fund Law Blog Nominated as Top 25 Business Law Blog – We need your vote!
:
Updated:
Registered Fund Solutions Roundtable
:
Updated:
California Pay-To-Play Rule: SB 398 signed into law and is effective immediately
:
Updated:
SEC Issues Risk Alert on Master/Sub-account Risks
:
Updated:
Filing Fees for Exempt Reporting Advisers and Private Fund Advisers
:
Updated:
European Regulators Extend Ban on Short Selling
:
Updated:
IRS Issues Notice Announcing Phased Implementation of FATCA
:
Updated:
New SEC Large Trader Reporting Requirement
:
Updated:
Pillsbury Submits Custody Rule Comment Letter to the California Department of Corporations on Behalf of the California Hedge Fund Association
:
Updated:
New Investor Study Gives Hedge Fund Managers Homework For Out-Marketing Competitors
:
Updated:
Events – Coming Soon
By Pillsbury's Investment Fund Law Team
:
Updated:
SEC Issues Order Raising Dollar Threshold for Performance Fee Rule
:
Updated:
SEC Adopts Final Rules Regarding Investment Adviser Registration
:
Updated:
Pillsbury submits second comment letter to the NASAA on behalf of the Private Investment Fund Industry regarding Proposed Custody Rule
:
Updated:
SEC adopts Whistleblower Program
:
Updated:
LBO Firms in China Get a Boost from New Regulations
:
Updated:
California to Issue Emergency Regulations Regarding Private Adviser Exemption
:
Updated:
SEC to Raise Dollar Threshold for Performance Fee Rule
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Updated:
“How Do You Really Feel?” Issa Challenges the SEC
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Private Fund Industry Wins Concession from NASAA On Proposed Custody Rule
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SEC Has Indicated That It May Extend Investment Adviser Registration Deadline
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SEC Provides New Guidance Regarding Form ADV
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Pillsbury takes action on behalf of the Private Investment Fund Industry by submitting comment letter to the NASAA
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Pillsbury Conducts Survey of Mid-Market Chinese Companies
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CFTC Proposes Rule to Rescind CPO Registration Exemption Widely Used By Private Fund Managers
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Institutional Limited Partners Association Publishes New Private Equity Fund Guidelines
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SEC Proposes Rule Regarding Private Fund Systemic Risk Reporting
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SEC Study on Investment Advisers and Broker-Dealers
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SEC Publishes Study on Enhancing Investment Adviser Examinations
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Shanghai Renminbi (RMB) Fund Regulation Creates Opportunities For Non-Chinese Fund Managers
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Ponzi is Prologue – What the Dodd Frank Act Means for SEC Fraud Enforcement Actions
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2011 Annual Compliance Review for Investment Advisers
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FINRA Outside Business Activities Rule Now Effective
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The SEC Extends the Compliance Dates for delivery of “Brochure Supplements”
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The SEC and the CFTC Propose Joint Rules Defining Swap Participants
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How does the AIFM Directive Impact Fund Raising in the EU by Non-EU Managers?
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SEC Proposes Rules Regarding the Oversight of Investment Advisers
By Pillsbury's Investment Fund Law Team
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Directive on Alternative Investment Fund Managers imposes new rules for funds operating in the European Union
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SEC brings Administrative Proceeding against Fund Manager for failing to make Books and Records available and misrepresentation on ADV
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Currency Conversion Issues for Foreign-Invested Private Equity Fund of Funds
By Pillsbury's Investment Fund Law Team
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Extension of compliance date – Amendments to Rule 201 and Rule 200(g)
By Pillsbury's Investment Fund Law Team
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Updated:
CFTC Probes Natural Gas Trades by Hedge Funds
By Pillsbury's Investment Fund Law Team
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Updated:
President’s Working Group Proposes Money Market Fund Reforms
By Pillsbury's Investment Fund Law Team
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Updated:
SEC and CFTC Adopt Rules for Reporting of Swaps
By Pillsbury's Investment Fund Law Team
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Updated:
SEC Continues Crackdown on Overvaluations of Hedge Fund Assets
By Pillsbury's Investment Fund Law Team
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Updated:
Investment Fund Law Blog Ranked as Top 25 Business Law Blog
By Pillsbury's Investment Fund Law Team
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Updated:
SEC Targets Use of Side Pockets by Hedge Funds
By Pillsbury's Investment Fund Law Team
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Updated:
Treasury Under Secretary Urges International Agreement on Hedge Fund Regulation
By Pillsbury's Investment Fund Law Team
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Updated:
Fund Manager Due Diligence on Third Party Marketers
By Pillsbury's Investment Fund Law Team
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Updated:
SEC Proposes New Family Office Definition
By Pillsbury's Investment Fund Law Team
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Updated:
Offshore Private Equity Investment by Chinese Insurance Companies – A Review of Relevant Regulations
By Pillsbury's Investment Fund Law Team
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Updated:
Understanding the Regulatory Environment for Foreign-Invested Fund Management Companies in China
By Pillsbury's Investment Fund Law Team
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Updated:
Gov. Schwarzenegger Signs New “Pay-to-Play” Law
By Pillsbury's Investment Fund Law Team
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Updated:
MFA Comments on Dodd-Frank Act
By Pillsbury's Investment Fund Law Team
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Updated:
Schedule for Implementation of Dodd-Frank Act
By Pillsbury's Investment Fund Law Team
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Updated:
Parallel Funds May Provide Increased Access to the Chinese Market
By Pillsbury's Investment Fund Law Team
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Updated:
China Permits Insurance Companies to Invest in Private Equity
By Pillsbury's Investment Fund Law Team
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Updated:
SEC Conducts Sweep Exam of Advisers to Funds of Funds
By Pillsbury's Investment Fund Law Team
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Updated:
California Adopts New Part 2 of Form ADV
By Pillsbury's Investment Fund Law Team
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SEC Requires Municipal Advisors to Register
By Pillsbury's Investment Fund Law Team
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Updated:
SEC Approves Changes to Investment Adviser Brochures
By Pillsbury's Investment Fund Law Team
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Updated:
Dodd-Frank Act Implications for Advisers to Private Funds
By Pillsbury's Investment Fund Law Team
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Updated:
New York Adopts Amendments to Power of Attorney Statute
By Pillsbury's Investment Fund Law Team
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Funds Need Better Derivatives Disclosure
By Pillsbury's Investment Fund Law Team
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