Výsledky vyhledávání - "David Y. Dickstein"

SEC 2018 examination priorities

Autor: David Y. Dickstein, Richard D. Marshall, Mark Goldstein, Janet M. Angstadt

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

Zobrazit plný text záznamu

A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers

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

Zobrazit plný text záznamu

Vyhledávací nástroje:

Upřesnit hledání