David Y. Dickstein

Partner
david.dickstein@kattenlaw.com
New York Office
p+1.212.940.8506
f+1.212.940.8776
vCard View my profile on LinkedIn View PDF
Overview

David Dickstein represents broker-dealers, investment advisers, investment companies and hedge funds in connection with a variety of regulatory, compliance and operational matters. David regularly counsels investment advisers on registration and regulatory matters, such as the need for registration, conflict of interest disclosures, soft dollars and best execution, firm advertising and marketing, federal and state pay-to-play matters, trade allocations and personal trading. He also advises broker-dealers on registration and ongoing compliance matters, mutual fund supermarkets on mutual fund distribution issues and brokerage and advisory firms on structuring and offering wrap fee programs and other financial products. In addition, David provides assistance in responding to Securities and Exchange Commission (SEC) investigations and examinations and in conducting compliance audits and regulatory reviews.

Shown below is a selection of David’s engagements.

Recognition

Legal 500, 2013
Presentations
April 8, 2014
Speaker | Implementing Effective Controls and Preparing for a Regulatory Exam | Goldman Sachs Prime Services Hedge Fund Learning Series
October 27, 2011
The Fine Art of Meeting the Best Execution Burden of Proof | NRS 26th Annual Fall Compliance Conference
June 14, 2011
Pay to Play 2011: Practical Guidance for Investment Advisory Compliance and Legal Professionals | Celesq
January 13, 2009
Mastering the Investment Advisers Act of 1940 Sections 201-205 | NRS CCP Webinar
November 11, 2008
Mastering the Investment Advisers Act of 1940 Sections 201-205 | NRS CCP Webinar
Investment Advisers Act from A to Z | Glasser LegalWorks
TD Waterhouse's Regional Investment Adviser Conference

Education

  • JD, Columbia Law School
    Harlan Fiske Stone Scholar
  • BA, Yeshiva University, magna cum laude

Bar Admissions

  • New York

Recognition

2013
Previous Next
Katten Websites   Careers  |  Alumni  |  Mobile Site
Contact Us   Offices  |  Media Center  |  People  |  Email
Legal Notices   Disclaimer  |  Privacy Policy  |  Attorney Advertising
Contact Us