Written by Michael Wu The SEC is recommending filing fees related to the new report filing on Form ADV for exempt reporting advisers and Form PF filing for private…
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European Regulators Extend Ban on Short Selling
ban until November 11, but will determine whether to lift the ban by the end of September. The AMF press release can be found here. Italy. The Commissione Nazionale per…
IRS Issues Notice Announcing Phased Implementation of FATCA
the Hiring Incentives to Restore Employment (HIRE) Act. FATCA imposes information reporting requirements on foreign financial institutions (FFIs) and withholding, documentation, and reporting requirements with respect to certain payments made…
New SEC Large Trader Reporting Requirement
the U.S. securities markets by allowing the Commission to promptly and efficiently identify significant market participants on a cross-market basis, collect data on their trading activity, reconstruct market events, conduct…
Pillsbury Submits Custody Rule Comment Letter to the California Department of Corporations on Behalf of the California Hedge Fund Association
explained Jay Gould, head of the Pillsbury Investment Funds & Investment Management team. The letter was provided in response to the DOC Commissioner’s invitation for comment on the proposed changes to the California custody rule that will…
New Investor Study Gives Hedge Fund Managers Homework For Out-Marketing Competitors
identities for their organizations and develop and implement effective new marketing strategies and programs. In the article below, Mr. Frumerman offers effective marketing strategies for hedge fund managers to stay…
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SEC Issues Order Raising Dollar Threshold for Performance Fee Rule
Written by Jay Gould, Ildiko Duckor and Michael Wu Effective on September 19, 2011, investors that pay performance fees to an adviser must either have at least $1 million managed by…
SEC Adopts Final Rules Regarding Investment Adviser Registration
final rules require these exempt reporting advisers to submit an annual report with the SEC by filing an abbreviated Form ADV Part 1 completing only Items 1 (Identifying Information), 2.B…
Pillsbury submits second comment letter to the NASAA on behalf of the Private Investment Fund Industry regarding Proposed Custody Rule
Written by Jay Gould and Michael Wu On March 2, 2011, Pillsbury’s Investment Fund and Investment Management group (“Pillsbury IFIM Group”) submitted a comment letter to the North American…