David Dickstein

David Dickstein addresses a wide range of regulatory and compliance issues for investment advisers, hedge and private equity funds. David regularly counsels investment advisers on matters such as the need for registration, Form ADV matters, disclosing conflicts of interest, compliance policies and procedures, rules on personal trading, marketing materials and federal and state pay-to-play and lobbying registration matters. Clients also frequently seek David's assistance with SEC examinations. David also advises brokerage and advisory firms on soft dollars and best execution, wrap-fee programs, trade allocations, marketing arrangements and bad actor matters. In addition, he conducts compliance audits and provides advice on SEC investigations. · Katten

United StatesInvestment Adviser Regulation, Hedge Funds

مراسلة اتصال الموقع الإلكتروني

نبذة

David Dickstein addresses a wide range of regulatory and compliance issues for investment advisers, hedge funds, and private equity funds. He counsels on registration, compliance policies, and SEC examinations.

مجالات الممارسة

Investment Adviser RegulationHedge FundsPrivate Equity FundsSecurities Compliance

المكتب

United States

Katten · David Dickstein addresses a wide range of regulatory and compliance issues for investment advisers, hedge and private equity funds. David regularly counsels investment advisers on matters such as the need for registration, Form ADV matters, disclosing conflicts of interest, compliance policies and procedures, rules on personal trading, marketing materials and federal and state pay-to-play and lobbying registration matters. Clients also frequently seek David's assistance with SEC examinations. David also advises brokerage and advisory firms on soft dollars and best execution, wrap-fee programs, trade allocations, marketing arrangements and bad actor matters. In addition, he conducts compliance audits and provides advice on SEC investigations.

United States

الخبرات

Investment AdvisersHedge FundsPrivate Equity FundsSEC ExaminationsCompliance Audits

المؤهلات العلمية

JD, Columbia Law School
BA, Yeshiva University, magna cum laude