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
-
August 4, 2023
-
November 10, 2021
-
August 27, 2018
Publications
-
July 2025
-
June 2025
-
December 2024
Quick Reads
Presentations and Events
-
April 24, 2025Panelist | What ERAs Need to Know in 2025 (and Why AML is on the Radar)
-
February 11, 2025Speaker
-
July 10, 2024Presenter