Search for: "JAY R. GOULD"
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1 Feb 2012, 10:27 am
Payne, along with Jay Joseph Vanbockel, 19, of Palm Bay, and Connie Gould Jarrell, 50, of Lake Hamilton, who were both passengers in the Explorer, were all taken to Lakeland Regional Medical Center. [read post]
24 Jan 2012, 3:52 pm
Written by Jay Gould and Peter Chess In re-proposed custody rules, the California Department of Corporations (“DOC”) has reflected the most important aspects of the comment letter that Pillsbury provided on July 27, 2011, such that all transactions and short positions need not be disclosed in the quarterly account statements. [read post]
17 Jan 2012, 1:34 pm
Written by Jay Gould, Ildiko Duckor and Peter Chess The Commodity Futures Trading Commission (CFTC) released a Final Rule on January 11, 2012, on the Registration of Swaps Dealers (SDs) and Major Swap Participants (MSPs). [read post]
11 Jan 2012, 11:59 am
Written by Jay Gould and Peter Chess Managed Funds Association (“MFA”) submitted a comment letter (the “Letter”) to the Securities and Exchange Commission (“SEC”) on January 6, 2012 with a rulemaking petition requesting the SEC to amend Rule 502(c) of Regulation D under the Securities Act of 1933. [read post]
9 Jan 2012, 2:54 pm
Written by Jay Gould, Ildiko Duckor and Peter Chess On January 4, 2012, the Securities and Exchange Commission (SEC) released a National Examination Risk Alert addressing investment adviser use of social media. [read post]
1 Dec 2011, 3:45 pm
Robber barons like the financier Jay Gould, the railroad magnate Cornelius Vanderbilt, and the oil tycoon John D. [read post]
30 Nov 2011, 5:21 am
Sources: SEC Order Against MSIM SEC Charges Morgan Stanley Investment Management for Improper Fee Arrangement – SEC Press Release Over $3.3 Million Charges Against Morgan Stanley Investment Management for Improper Fee Arrangement by Jay Gould in Pillsbury’s Investment Fund Law Blog [read post]
29 Nov 2011, 9:03 am
Written by Jay Gould On November 28, 2011, the SEC charged OMNI Investment Advisors, Inc. of Utah, Feltl & Company Inc. of Minneapolis and Asset Advisors LLC of Troy, Michigan for failing to adopt and implement compliance procedures designed to prevent securities law violations. [read post]
18 Nov 2011, 2:17 pm
Written by Jay Gould On Wednesday, November 16, 2011, the SEC charged Morgan Stanley Investment Management (“MSIM”) with violating securities laws in a fee arrangement that costs a fund and its investors approximately $1.8 million in sub-adviser fees. [read post]
15 Nov 2011, 9:12 am
Written by Jay Gould On October 18, 2011, the SEC released a notice of FINRA’s filing of Proposed Rule 5123 (the “Proposed Rule”) which would require FINRA members and associated persons to: 1) provide to investors disclosure documents in connection with private placements prior to sale and 2) file with FINRA such disclosure documents within 15 days after the date of first sale and any subsequent amendments. [read post]
4 Nov 2011, 4:49 pm
Written by Jay Gould The Pillsbury Investment Funds Team has over the past month reviewed several new Due Diligence Questionnaire (“DDQ”) forms on behalf of fund manager clients from institutional investors and family offices that contain a new inquiry that is potentially problematic for certain fund managers. [read post]
1 Nov 2011, 4:38 pm
Written by Jay Gould, Ildiko Duckor and Michael Wu An investment adviser must ensure that its IARD account is adequately funded to cover payment of all applicable registration renewal fees and notice filing fees. [read post]
27 Oct 2011, 11:02 am
Written by Jay Gould On October 26, 2011, the SEC adopted a new rule requiring SEC-registered advisers to hedge funds and other private funds with at least $150 million in private fund assets under management to report information to the Financial Stability Oversight Council (“FSOC”) to enable it to monitor risk to the U.S. financial system. [read post]
26 Oct 2011, 11:06 am
Jay B. [read post]
13 Oct 2011, 4:48 pm
Written by Jay B. [read post]
28 Jul 2011, 12:49 pm
Written by Jay Gould Pillsbury’s Investment Funds & Investment Management team has submitted a comment letter to the California Department of Corporations (the “DOC”) on behalf of the California Hedge Fund Association in connection with the DOC’s recently proposed amendments to the California custody rule. [read post]
20 Jul 2011, 5:43 pm
I differ with Gould here. [read post]
19 Jul 2011, 2:59 am
Food and Drug administration, the USDA, the Canadian Food Inspection Service, and the European Economic Community.However, Michele Jay-Russell, program manager at the Western Center for Food Safety, University of California, Davis, told Food Safety News that while coliform counts are an important tool, low coliform counts don't rule out the possible presence of pathogens such as E. coli and Salmonella. [read post]
12 Jul 2011, 4:16 pm
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 the adviser or a net worth of at least $2 million. [read post]
11 Jul 2011, 5:42 am
Gould School Alyssa Clark-Cartwright- Sanford H.S. [read post]
