About David Y. Dickstein
David Dickstein addresses a wide range of regulatory and compliance issues for investment advisers, hedge and private equity funds.
Wide-ranging regulatory advice
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.
Practice Focus
- Federal and state investment adviser registration and regulatory counseling
- Preparing investment adviser compliance policies and procedures
- Review of marketing material for compliance with federal securities laws
- Counseling on Securities and Exchange Commission (SEC) examinations
- Investment adviser compliance reviews
- Review of hedge fund and private equity offering documents for compliance with federal securities laws
- State and local lobbying and pay-to-play laws
News
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November 10, 2021
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August 27, 2018
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June 4, 2013
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October 22, 2012
Publications
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March 3, 2022
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February 11, 2022
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February 11, 2022
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August 13, 2021
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January 28, 2021
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June 6, 2020
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May 15, 2020
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May 8, 2020
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March 17, 2020
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Presentations and Events
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May 11, 2021Speaker
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November 11, 2020
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May 7, 2020Speaker
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March 4, 2020Presenter
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January 18, 2018Participant
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October 27, 2015Participant
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June 9, 2015Panelist
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April 23, 2015Panelist | Dealing with Trade Errors
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April 8, 2014Goldman Sachs Prime Services Hedge Fund Learning SeriesSpeaker | Implementing Effective Controls and Preparing for a Regulatory Exam
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