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Posted in Events

Pillsbury is hosting Plum Alley Investments, a private-membership on-line platform connecting women investors with businesses run by women entrepreneurs.  The breakfast will feature an intimate conversation about shaping the world by investing in private companies led by women entrepreneurs.  Venue: Pillsbury office, 22nd Floor, Four Embarcadero Center, San Francisco; Wednesday, July 20th, 8:30 - 10 a.m.

Plum Alley gives members access to select opportunities to invest in private companies along with custom experiences both on-line and off-line to collaborate, imagine and transform the world. Plum Alley founders Deborah Jackson and Andrea Turner Moffitt have over three decades of relevant expertise as investors, entrepreneurs, experts in capital raising and finance.  Plum Alley members represent a diverse range of women and men with expertise across technology, financial services, philanthropy, healthcare, consumer, and more. They have deep expertise, connections, financial resources and prominence in their personal and professional lives.

For more about Plum Alley:

Fortune: The Creative Way This Firm Is Getting Female Investors into the Big Leagues

Forbes: How A Crowdfunding Site Helps Women Support Women

Rising Hedge Funds Stars Discuss Keys to Success

Posted in Events, Hedge Funds

Pillsbury is hosting a hedge fund startup event with 100 Women in Hedge Funds next Thursday, July 14.  Experts representing two firms named as Institutional Investor's 2015 Hedge Fund Rising Stars will discuss the essentials to launch and grow an investment firm in today's environment.  They, along with a tenured hedge fund consulting professional, and Ildiko Duckor, co-head of Pillsbury’s Investment Funds practice will discuss how to build and scale an institutional quality business, address strategy marketability and infrastructure, cover legal and compliance considerations and tackle successful fundraising techniques.

Pillsbury has been named "Best Onshore Law Firm-Client Service" by HFMWeek at its HFM U.S. Hedge Fund Services Awards several times, including in 2015.  Pillsbury’s Emerging Hedge Fund Manager program provides packaged launch solutions to small hedge fund startups for a reasonable fixed fee and other startup benefits.

RSVP:  Please contact Ailyn Cabico if you are interested in attending the event.

For more event information, please read the Event Invitation.

2016 FinTech Risk Management and Compliance Roundtable

Posted in Events
Yesterday, Pillsbury hosted the first FinTech Roundtable of 2016,  a series of risk management and regulatory compliance roundtables for FinTech companies.  Senior Managers from Prosper, SigFig and FundingCircle discussed the market and technology challenges they face (including cybersecurity risk) and approaches they have adopted.  Pillsbury partnered with  the Professional Risk Managers’ International Association (PRMIA) - a non-profit professional association, Oyster Consulting - a firm providing comprehensive consulting and compliance services for financial firms and La Meer Inc. - a risk management solutions company.

FinTech Round Table

Posted in Events

Yesterday, Pillsbury hosted the first in a series of risk management and regulatory compliance round tables for FinTech companies.  The meetings will explore technology-related risk and compliance issues in the financial services space, such as in mobile banking, online brokerage, automated (“robo”) investment advisers, P2P lending, to name a few.  Pillsbury partnered with  the Professional Risk Managers' International Association (a non-profit professional association), Oyster Consulting (a firm providing comprehensive consulting and compliance services for financial firms) and La Meer Inc. (a risk management solutions company).

Pillsbury Partner to Speak on Cybersecurity

Posted in Events

Brian Finch, a partner in Pillsbury’s Public Policy Practice, will be speaking on cybersecurity at a 100WHF event in San Francisco on October 13, 2015.  The event is titled Under Attack: Cyberdefense in the Network Age. Mr. Finch is recognized as a leading legal authority on matters related to cyber security.  He co-authored an article on Cybercrimes affecting hedge funds, posted in our blog.

Hedge Fund General Counsel and Compliance Officer Summit

Posted in Events, Hedge Funds

Pillsbury logo

Pillsbury Winthrop Shaw Pittman LLP is pleased to present an exclusive client discount for the upcoming:

 Hedge Fund General Counsel and Compliance Officer Summit October 19, starting at 8:00 a.m. through October 20, ending at 4:30 p.m. ET. The University Club, New York, NY

Use Promotion Code HFPWSP for a 35% discount when registering. Click Here to Register

Join us for our session: "2015 Exam Priorities: Tips for Handling SEC Exams and Investigations" taking place Tuesday, October 20, 2015, from 10:00 AM – 11:00 AM

 Discussion Leader:

Ildiko Duckor Partner and Co-head, Investment Funds & Investment Management Practice, Pillsbury Winthrop Shaw Pittman, LLP

 Speakers to Include:

 David Charnin, Managing Director, General Counsel and Chief Compliance Officer, Strategic Value Partners, LLC

Sarah A. Good, Partner and Co-leader, Securities Litigation & Enforcement Team, Pillsbury Winthrop Shaw Pittman, LLP

William H. Woolverton, Senior Managing Director and General Counsel, Gottex Funds Management

Steven A. Yadegari, Chief Operating Officer and General Counsel, Cramer Rosenthal McGlynn, LLC

   For more information Click Here

or contact Deborah Bernbaum at (212) 457-7918 or For registration inquiries, contact Frank Wolson at (212) 457-9510 or

New IFIM member announcement

Posted in Events
Pillsbury’s Investment Funds and Investment Management group (IFIM) welcomes Corey Harris, Associate.  Corey graduated this summer from Berkeley Law with a Masters in Securities Law.  He has a JD and an MBA from Boston College.  Between law school and the LLM Program, Corey worked at Proskauer Rose in Boston, as in-house counsel at eSECLending and at Hirschler Fleischer in Richmond Virginia, all in the investment management and investment funds area.  We look forward to involving Corey in serving our clients. Corey can be reached by e-mail at or by phone at (415) 983.6105.

A Successful Evening for Pillsbury and 100 Women in Hedge Funds

Posted in Events

Pillsbury hosted a panel event for 100 Women in Hedge Funds on July 28 discussing conflicts of interests hedge fund managers face in managing multiple account types, such as funds, institutional separate accounts and sub-advised mutual funds.  Kristin Snyder, Associate Regional Director for Examinations, San Francisco Regional Office of the Securities and Exchange Commission, emphasized that while the SEC does not expect advisers to have conflict-free business models, clear disclosure and effective mitigation of material conflicts are essential fiduciary duties of an adviser.  Other panelists and representatives of hedge fund managers (Frank Martin, President, Standard Pacific Capital, LLC) and institutional investors (Michelle Young, Managing Director, Ohana Advisors), provided insights into identifying, assessing, mitigating, and managing those conflicts.  Sarah Good, Partner and Co-Leader of Pillsbury’s Securities Litigation and Enforcement practice group, discussed case studies illustrating the SEC’s approach to manager conflicts.  Ildiko Duckor, Partner and co-head of Pillsbury’s Investment Funds and Investment Management group, moderated the panel and offered tips and comments on practical solutions to account conflicts.

100 Women in Hedge Funds presents HOT topics in Compliance: Conflicts of Interests in Account Management and more

Posted in Events
Pillsbury partners, Ildiko Duckor and Sarah Good, will participate in the 100 Women in Hedge Funds sponsored event titled “HOT topics in Compliance: Conflicts of Interests in Account Management and more” on July 28, 2015. In quest for assets and investors, hedge fund managers continue to diversify their client base. When they are successful, they may end up with a broad spectrum of accounts: managed accounts, 40 Act registered funds and proprietary accounts in addition to hedge funds. With variety comes complication - from a compliance perspective. Are your side-by-side account management procedures up to par? Join us in a panel discussion with experts from the SEC, Legal/Compliance, and Managers/Investors highlighting just what you need to know about the following compliance hot button topics:
  • Conflicts of interests in the center of the SEC's focus - arising from trade allocations, expense allocations, related party transactions, side letters and proprietary account biases
  • Best practices you should have in place now
  • Investors' main concerns during negotiations with the managers and what you need to know about their due diligence expectations
For more information, visit 100 Women in Hedge Funds. Date & Time 7/28/2015 6:00 pm PT Location Pillsbury's San Francisco office Four Embarcadero Center 22nd Floor San Francisco, CA 94111 Event Contact Jessica Slater Speakers Ildiko Duckor Sarah A. Good Kristin Synder, Securities and Exchange Commission Frank Martin, Standard Pacific Capital, LLC Michelle Young, Ohana Advisors Sponsors Pillsbury 100 Women in Hedge Funds

Financial Markets Association’s 2014 Securities Compliance Seminar- April 23-25

Posted in Events, Guest Post
The Financial Markets Association is hosting its annual Securities Compliance Seminar in Nashville, TN on April 23-25,2014.  This seminar is intensive training for intermediate as well as seasoned compliance specialists, internal auditors, attorneys, and regulators that focuses on current compliance topics, new rules or interpretations and regulatory developments, including a Dodd-Frank regulatory update.  The seminar gives attendees the opportunity to sharpen their skills through general and breakout sessions.  Satisfy CLE/CPE requirements. Click HERE to view the complete program. The brochure is also available on FMA's website, 

Excellence In Investing: San Francisco

Posted in Events

The 4th Annual Excellence In Investing: San Francisco, in partnership with The Sohn Conference Foundation, will be held on October 23, 2013 at The Bentley Reserve.   Excellence In Investing: San Francisco is the premiere Bay Area investor conference benefiting local and national education and other children’s causes.  

For more information and to register, please visit or click here.

A Conversation with the Regulators: A program for Fund Managers and Investment Advisors

Posted in Events, Investment Advisers, Private Funds


Pillsbury and the California Hedge Fund Association invite you to join us on Thursday, April 25, 2013 for an educational program featuring Ms. Jan Lynn Owen, the Commissioner of the California Department of Corporations (DOC) and Person to be Announced from the U.S. Securities and Exchange Commission.

The Commissioner and her staff will discuss the new investment adviser registration rules that were recently adopted by the DOC, including the “exempt reporting adviser” provisions, the interplay between the DOC rules and those of the post-Dodd-Frank rules of the Securities and Exchange Commission.

This program will provide startup hedge fund managers and new investment advisers with the information they need to navigate the registration process, regulatory requirements, and examination focus of the DOC and the SEC, including:

  • Eligibility for reliance on the “exempt reporting adviser” provisions and what that means in the registration process
  • What the DOC and SEC expect to see in hedge fund manager and investment adviser compliance programs
  • Examination and enforcement by the DOC and the SEC and coordination efforts between the two agencies
  • Tax planning and compliance for fund managers at the state, local and federal levels
  • New DOC and SEC rules in the concept or proposal stage aimed at investment advisers

Date & Time

3:30 pm - 4:00 pm PT

4:00 pm - 4:30 pm PT
Keynote: Jan Lynn Owen

4:30 pm - 5:45 pm PT
Panel Discussion

5:45 pm - 7:30 pm PT

Pillsbury’s San Francisco Office
Four Embarcadero Center
22nd Floor
San Francisco, CA 94111

Event Contact
Juliana Curmi 

Featured Speaker
Jan Lynn Owen, Commissioner, California Department of Corporations

Host and Moderator
Jay B. Gould, Partner, Pillsbury

Additional Speakers
Jerry Twomey, Deputy Commissioner, Division of Securities Regulation, California Department of Corporations

Doug Bramhall, Tax Managing Director, KPMG

Kristin A. Snyder, Associate Regional Director–Examinations, Securities and Exchange Commission, San Francisco Regional Office 

Regulatory Challenges for Chief Compliance Officers

Posted in Events

Pillsbury will be hosting back-to-back programs this month on compliance and regulatory challenges facing Chief Compliance Officers.  The first program will be held on February 27, 2013 at Pillsbury’s San Francisco office.  The second program will be held on February 28, 2013 at Pillsbury’s Los Angeles office.  Each program will begin with a brief overview of the recent trend involving the SEC's referral of enforcement matters against fund managers to the U.S. Department of Justice for criminal prosecution, which will be followed by a panel discussion on the following topics:

  • Common compliance deficiencies and other “hot button” issues for SEC examiners
  • The use of technology and service providers to simplify Chief Compliance Officers' obligations and minimize liability
  • Best practices in implementing a Code of Ethics (COE), including what should be in the COE and how employee activity should be monitored
  • The implications of the U.S. Jumpstart Our Business Startups Act (JOBS Act) on compliance procedures and policies

We hope you can join us.

To register for the San Francisco office event, please click HERE.

To register for the Los Angeles office event, please click HERE.

19th Annual Alpha Hedge East Conference

Posted in Events, Investment Advisers




Institutional Investor’s 19th Annual Alpha Hedge East Conference is excited to announce New Orleans' own James Carville as a keynote speaker. Mr. Carville will present his views on American and international politics, with a focus on the second administration of Barack Obama, the divided Congress, and the challenges facing the major political parties and players.


James Carville
Political Consultant

Join us February 5-7, 2013 in New Orleans as we kick-off the 2013 conference season in style at the most educational and business-driven event on the winter calendar.


Be sure to reference code 'PWS10' to receive 10% discounted rate!*


Speakers Include:

  • Scott S. Cowen, President of Tulane University, TULANE UNIVERSITY 
  • Chris J. Acito, Chief Executive Officer and Chief Investment Officer, GAPSTOW CAPITAL PARTNERS
  • Fred Brettschneider, President, LIBREMAX CAPITAL, LLC
  • Michael Dieschbourg, Managing Director, BROADMARK ASSET MANAGEMENT
  • Chad Earnst, Assistant Director, U.S. SECURITIES & EXCHANGE COMMISSION
  • Michael Gaviser, Managing Director, KOHLBERG KRAVIS ROBERTS & CO. L.P.
  • Richard Howard, Global Strategist, HAYMAN CAPITAL MASTER FUND
  • Jason Huemer, President, VISIUM ASSET MANAGEMENT
  • Mark Jurish, President & Chief Executive Officer, LARCH LANE ADVISORS, LLC
  • Steve Kuhn, Partner & Head of Fixed Income Trading, PINE RIVER CAPITAL MANAGEMENT
  • David Kupperman, Managing Director, NEUBERGER BERMAN GROUP, LLC
  • Jon Levin, Strategy and Corporate Development, GROSVENOR CAPITAL MANAGEMENT, L.P.
  • Amin Majidi, Chief Risk Officer, PREMIUM POINT INVESTMENTS
  • Jonathan Wood, President, WHITEBOX ADVISORS
  • Paul Zummo, Chief Investment Officer, J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT

Sessions Include:

  • Credit Investing: Redefining the Credit Universe
  • Pairing the Investment Thesis with the Proper Infrastructure Requirements: Manager Due Diligence
  • Mortgage Investing: A 10 Trillion Dollar Universe in Need of Navigation
  • Risk Management from Institutional Investors' Perspective
  • Seeding; a "growth" industry

Recognizing the budgetary restraints in the industry, Institutional Investor is proud to offer a high-quality conference at an affordable rate.


View Early Confirmed Attendees Here 

A limited number of complimentary passes are available for qualified Public and Private Pension Funds, Pension Consultants, Foundations, Endowments, Family Offices and High Net Worth Investors. For more information, please contact Rinaldo Crassa at or 212.224.3510. All passes are subject to approval.

We look forward to hosting you next month!


Institutional Investor

*Discount is only valid on registrations after January 9, 2013 and cannot be applied to prior purchases





Pillsbury to Host Managers Only Program

Posted in Events, Investment Advisers

Pillsbury will be hosting a Managers Only program on Wednesday, January 23, 2013.  The program entitled “Challenges and Opportunities for Starting a Hedge Fund in 2013” starts at 3:30 p.m. and will be held at Pillsbury’s San Francisco office at Four Embarcadero Center, 22nd Floor.  This event will be divided into two seminars.  Panel 1 seminar – “Organizing and Operating a Startup Fund” will start at 4:00 p.m. to be followed by Panel 2 seminar – “Effective Capital Raising for Emerging Manager” at 5:15 p.m.  For more information about this event and to register, please click HERE.


Excellence In Investing: San Francisco

Posted in Events, Investment Advisers

The 3rd Annual Excellence In Investing: San Francisco, in partnership with The Sohn Conference Foundation, will be held on October 24, 2012 at the Merchants Exchange, Julia Morgan Ballroom.   Excellence In Investing: San Francisco is the premiere Bay Area investor conference benefiting local and national education and other children’s causes.  

For more information and to register, please visit or click here.

Pillsbury meets with the CA Department of Corporations

Posted in Events, Investment Advisers, Private Funds

On August 30, 2012, Ildi Duckor and Michael Wu, members of Pillsbury’s Investment Funds and Investment Management practice, met with executives and staff of the California Department of Corporations at the Department’s invitation.  The purpose of the meeting was to provide the Department’s investment adviser and broker dealer divisions (live in San Francisco and via teleconference in the Sacramento and Los Angeles offices) with a broad overview of the hedge fund industry.  “We hope that a better understanding of the industry will help balance hedge fund managers’ business needs with the regulators’ need for investor and market protection, and will streamline both the adviser registration and the examination process” said Ildi Duckor.  The Investment Funds and Investment Management team will continue to cooperate with the Department in an effort to provide industry insight with respect to future California regulation of hedge funds and their advisers.

Pillsbury Welcomes New Partner

Posted in Events, Private Equity, Private Funds

We are very pleased to announce that Henry Liu is joining our New York office today as a Finance Partner and as leader of the Financial Institutions & Infrastructure Teams for Greater China and Asia.

Henry has enormous reach within business, banking and government in China and is the former general counsel and director general at the China Securities Regulatory Commission.  Henry will provide valuable assistance to the Pillsbury Investment Funds group on the structuring of investment funds in China as well as the movement of capital from China into investment funds outside of China.

“Henry brings a unique combination of experience as a former high-level Chinese government official and as an extremely successful and well-connected attorney for our China practice,” said Pillsbury Firm Chair Jim Rishwain. “Henry is an incredibly rare find, as he can navigate the United States and Chinese business and legal landscapes with ease. Likewise, he has enormous reach within business, banking and government circles in Greater China and has earned the very highest reputation among his colleagues and peers. As a result, he will greatly enhance Pillsbury's stature and presence in Asia – long a key market for our firm and our clients.”

Henry has also served international, Chinese and Asia Pacific clients ranging from Fortune 500 global firms to emerging companies and has been involved in most major types of cross-border corporate and financing transactions and regulatory matters involving Asia and China, across most major industry sectors, in mergers and acquisitions, capital markets, banking and financing, corporate, private equity and investment funds, foreign direct investments, real estate, technology transfers and international trade. He has over his career been exposed to most industries and sectors, including financial services, manufacturing, real estate, transportation, energy, telecom and media, and sports and entertainment.  Henry was previously managing director of investment banking with Donaldson, Lufkin & Jenrette/Credit Suisse First Boston in Hong Kong as well as the chair of a large international law firm’s China practice.

Global Hedge Fund Summit

Posted in Events

The 18th Annual Global Hedge Fund Summit will be held in Bermuda on April 15-17, 2012.  Jay Gould will be speaking at this event on a panel entitled “The Crossroads of Law & Finance,” that will examine the investment world and its interaction with the ever-evolving legal landscape. 

For more information and to register, please visit or, or click here for information about a promotional discount for CHFA members.

Hedge Fund Marketing Boot Camp: Turn Your Audience Into Your Investors

Posted in Events, Investment Advisers, Private Funds

Date & Time
12:30 pm - 7:00 pm PT

12:30 pm - 5:30 pm PT
5:30 pm - 6:30 pm PT
Panel and Q&A
6:30 pm PT

Pillsbury's SF office
50 Fremont Street
San Francisco, CA 94105

Join us for an interactive, instructional workshop to learn step-by-step how to create unique and individualized marketing material to attract and engage investors and raise capital.

Who Should Attend:

  • Emerging Funds Managers
  • Established Funds Managers
  • Hedge Fund Marketers
  • Pre-Launch Managers
  • Fund of Funds Managers

This one day hedge fund marketing event will cover:

  • How to uncover or rebrand your fund identity
  • Defining your marketing message and how to tell it
  • Understanding who your potential investors are
  • How to avoid compliance pitfalls
  • Discovering opportunities that raise capital
  • What investors look for in marketing collateral

and much more...

Presented by
Maital S. Rasmussen,Founder & CEO, Rasmussen Communications, Inc.

Ildiko Duckor

Guest Speakers
Rikke Jorgensen, Copywriter, Rasmussen Communications, Inc.
Seavan Sternheim, COO, CMO, QM Capital, LLC

Investor Panel and Q&A Session
Kermit Claytor, Fund of Funds Manager, Skyline Partners
Paul Perez, CFA, Springcreek Advisors, LLC
Ildiko Duckor, Counsel, Pillsbury
T. Jon Williams, Ph.D., CFA, South Avenue Investment Partners

Early Bird$675 for one participant
$975 for two participants
Early 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

100 Women in Hedge Funds
California Hedge Fund Association
Rasmussen Communications


Posted in Events

Pillsbury named "best" law firm at HFM Week's U.S. Hedge Fund Services Awards

New York—Premier hedge fund publication HFM Week honored Pillsbury with its "Best Onshore Law Firm – Client Service" award, at the magazine's annual U.S. Hedge Fund Services Awards ceremony in New York. This marks the third consecutive year Pillsbury has both received the HFM Week client service recognition and been a "shortlist" finalist in multiple award categories. Established to recognize impressive revenue growth, innovation and customer satisfaction among funds and service professionals, the awards are determined by a panel of independent judges, comprised of industry experts. Jay B. Gould, leader of Pillsbury's Investment Funds & Investment Management practice team, accepted the award on behalf of Pillsbury.

Pillsbury's press release is available here.

Registered Fund Solutions Roundtable

Posted in Events, Investment Advisers, Private Funds




Thursday, October 27, 2011
3:30 - 4:00pm Registration
4:00 - 5:30pm Presentation
5:30 - 6:30pm Reception

Pillsbury's San Francisco office
50 Fremont Street
San Francisco, CA 94105

How can hedge fund managers that seek more efficient methods for raising capital avail themselves of the public markets?

Now, many private fund managers are finding that a registered fund product can address the needs of certain investors, and with turnkey solutions available, the complexity that has traditionally been associated with registered funds 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 questions you have regarding how to organize and operate a registered fund will be addressed at this Managers-Only Event, including:

  • What is the process for registering an alternative investment product?
  • What are the tax, regulatory and operational issues for a registered fund?
  • Interval funds, closed-end funds and open-end funds—why choose one over the other?
  • Who are the investors I will reach with a registered fund?
  • Can I run both hedge funds and registered funds at the same time?
  • How do I minimize regulatory scrutiny and outsource the back office?


Tony Fischer, UMB Fund Services
Paul Kangail, Ernst & Young
Vic Fontana, Registered Fund Solutions
Rachel Minard, Minard Capital
Jay Gould, Pillsbury Winthrop Shaw Pittman LLP