Search for: "Jay B. Gould" Results 1 - 20 of 58
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
8 Aug 2014, 5:00 am by Doug Cornelius
Lawyers as SEC Enforcement Targets, What a Fund Manager Needs to Know by Jay B. [read post]
30 Jan 2017, 4:22 am
This Way to Financial Services ReformBy Jay B. [read post]
3 Feb 2012, 8:43 am by Ailyn Cabico
Written by Jay Gould and Peter Chess On January 18, 2012, the Office of Investment Adviser Regulation, part of the Division of Investment Management, issued a no-action letter (the “2012 Letter”) in response to a request for guidance from the American Bar Association’s Subcommittee on Hedge Funds on issues regarding the registration of certain investment advisers that are related to investment advisers registered with the Securities and Exchange Commission (the “SEC”).  [read post]
15 Nov 2011, 9:12 am by Ailyn Cabico
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]
14 Mar 2012, 10:28 am by Ailyn Cabico
Written by Jay Gould, Michael Wu and Peter Chess The Commodity Futures Trading Commission (the “CFTC”) recently amended its registration rules regarding Commodity Pool Operators (“CPOs”) and Commodity Trading Advisors (“CTAs”), which will require many general partners and managers of private investment funds that previously relied on an exemption from registration to now register with the CFTC.  [read post]
18 Nov 2011, 2:17 pm by Ailyn Cabico
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]
8 Mar 2011, 12:56 pm by Ailyn Cabico
Written by Jay Gould and Michael Wu Pillsbury’s Investment Fund and Investment Management group recently submitted a comment letter to the California Corporations Commissioner (the “Commissioner”) on behalf of the private investment fund industry.  [read post]
28 Jun 2013, 8:03 am by Doug Cornelius
Performance Fantasies Lead to SEC Enforcement Action by Jay B. [read post]
28 Jun 2013, 8:03 am by Doug Cornelius
Performance Fantasies Lead to SEC Enforcement Action by Jay B. [read post]