Zobrazeno 1 - 5
of 5
pro vyhledávání: '"David Y. Dickstein"'
Publikováno v:
Journal of Investment Compliance. 19:1-4
Purpose To analyze SEC Staff’s announced 2018 OCIE Examination priorities to provide insight to investment advisers and other regulated entities regarding areas of focus during SEC examinations. Design/methodology/approach This article discusses th
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::bc02f4b2ae5652db0822c015623f0be8
https://doi.org/10.1108/joic-04-2018-0028
https://doi.org/10.1108/joic-04-2018-0028
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
Externí odkaz:
https://explore.openaire.eu/search/publication?articleId=doi_________::bda8a660a54d357bf6cb78c5151742aa
https://doi.org/10.1108/joic-08-2017-0057
https://doi.org/10.1108/joic-08-2017-0057
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
Autor:
Saviano, Eva
Publikováno v:
Crain's New York Business. 11/5/2012, Vol. 28 Issue 45, p0008-0008. 1p.
Publikováno v:
Journal of Investment Compliance, 2018, Vol. 19, Issue 2, pp. 1-4.
Externí odkaz:
http://www.emeraldinsight.com/doi/10.1108/JOIC-04-2018-0028