Anthony Dillingham
Director Regulatory Marketing Compliance at Sprott
Based in Stamford, United States
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Seniority
Other
Department
Other
Location
Stamford
Industry
Investment Management
Company size
221
Contact information
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a•••••••@sprott.com
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Background
About Anthony Dillingham
As Director of Marketing Review on ACA’s Managed Services team, Anthony has spent his tenure at ACA supervising and implementing ongoing marketing review engagements for dozens of firms. ACA reviews marketing material within the regulatory framework applicable to both registered investment advisers and broker-dealers, inclusive of SEC staff no-action letter guidance and FINRA regulatory notices and comment letters, through the lens of ever-evolving peer-firm standards and industry best practices.
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