Katten

Financial Markets & Funds

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.

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