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Journal Articles

SEC sues asset managers for using untested, error-filled quantitative investment models

Wendy E. Cohen, Richard D. Marshall, Allison C. Yacker, Lance A. Zinman

Journal of Investment Compliance (2019) 20 (1): 44–46.

https://doi.org/10.1108/JOIC-01-2019-0004

Published: 28 March 2019

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Journal Articles

A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers

Wendy E. Cohen, David Y. Dickstein, Christian B. Hennion, Richard D. Marshall, Allison C. Yacker, Lance A. Zinman

Journal of Investment Compliance (2017) 18 (4): 22–28.

https://doi.org/10.1108/JOIC-08-2017-0057

Published: 06 November 2017

View article titled, A review of the SEC Participating Affiliate No-Action Letters’ relief from Investment Advisers Act of 1940 registration for foreign investment advisers

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