Výsledky vyhledávání - "Lance A. Zinman"

SEC sues asset managers for using untested, error-filled quantitative investment models

Autor: Allison C. Yacker, Lance A. Zinman, Wendy E. Cohen, Richard D. Marshall

Publikováno v: Journal of Investment Compliance. 20:44-46

Purpose To explain actions the US Securities and Exchange Commission (SEC) brought on August 27, 2018, against a group of affiliated investment advisers and broker-dealers for what the SEC considered misleading and insufficient representations and di

Externí odkaz: https://explore.openaire.eu/search/publication?articleId=doi_________::ecd9e709a8077a2c180a2e6bdfbae7b7
https://doi.org/10.1108/joic-01-2019-0004

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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

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