Zobrazeno 1 - 2
of 2
pro vyhledávání: '"Christian B. Hennion"'
Autor:
Allison C. Yacker, Wendy E. Cohen, Richard D. Marshall, Lance A. Zinman, David Y. Dickstein, Christian B. Hennion
Publikováno v:
Journal of Investment Compliance. 18:22-28
Purpose To explain the US Securities and Exchange Commission (the “SEC”) staff’s (the “Staff”) participating affiliate exemption from investment adviser registration for foreign advisers set forth in a line of Staff no-action letters issued
Autor:
Cohen, Wendy E., Dickstein, David Y., Hennion, Christian B., Marshall, Richard D., Yacker, Allison C., Zinman, Lance A.
Publikováno v:
Journal of Investment Compliance (Emerald Group); 2017, Vol. 18 Issue 4, p22-28, 7p