Registration ends October 27th, 2011 Regular Price$750 for one participant$1,050 for two participants To register, please visit Rasmussen Communications . Event Contact Jessica Slater Sponsors 100 Women in…
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New DDQ Inquiry Spells Potential Liability for Fund Managers
and requests permission from the fund manager for the potential investor to contact the service provider named with respect to the disputed fees. The Pillsbury Investment Funds Team found this…
Reminder: 2012 IARD Account Renewal obligations for investment advisers
show in the Final Renewal Statements which are available for printing beginning January 3, 2012. All final renewal fees should be submitted to FINRA through the IARD system by February…
In re Southern Peru Copper Corporation–What Steps does a Special Committee Have to Take?
Written by Jonathan J. Russo and Meredith Ervine At first glance, Southern Peru Copper Corporation (Southern Peru) and its special committee (Committee) appeared to do what they were supposed to…
SEC Approves Confidential Private Fund Systemic Risk Reporting
must be reported to the FSOC on Form PF will remain confidential, and not accessible to the general public. These private fund advisers are divided into (1) large private fund…
Proposed “Volcker Rule” Regulations Provide Banks a Broad Exemption for Liquidity Management
Written by Michael Ouimette On October 11, 2011, the Federal Financial Regulators published for public comment a jointly proposed regulation implementing the so-called “Volcker Rule” requirements of the Dodd-Frank…
Investment Fund Law Blog Nominated as Top 25 Business Law Blog – We need your vote!
set the online standard for a given industry. This year, we will once again seek your input in choosing the Top Blogs to our Corporate and Securities Law Community…. Print…
Registered Fund Solutions Roundtable
may no longer be a deterrent. Please join the California Hedge Fund Association, Pillsbury, and JD Clark & Company for a panel discussion on solutions for registered funds. All the…
California Pay-To-Play Rule: SB 398 signed into law and is effective immediately
1743 also exempts from lobbyist registration requirements those advisers and broker-dealers who are registered with the SEC, obtained the business through competitive bidding process, and agreed to the California fiduciary…
SEC Issues Risk Alert on Master/Sub-account Risks
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…