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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
.... See, e.g., Uniao de Bancos de Brasileiros S.A., SEC No-Action Letter (July 28, 1992) (hereinafter Unibanco Letter); Mercury Asset Management plc, SEC No-Action Letter (April 16, 1993); Kleinwort Benson Investment Management Limited, SEC No-Action Letter (December 15, 1993) (hereinafter Kleinwort...
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