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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: Journal of Investment Compliance
Journal of Investment Compliance (2017) 18 (4): 22–28.
https://doi.org/10.1108/JOIC-08-2017-0057
Published: 06 November 2017
... Registration Exemption Foreign investment adviser Unibanco In order to provide investment advice to US clients, a foreign investment adviser must be registered with the US Securities and Exchange Commission (the “SEC”) under the Investment Advisers Act of 1940 (the “Advisers Act”) unless an applicable...
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