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.

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.

⇣   Expand to read more

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

Quick Reads