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Overview
Practice Areas
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Contact Information
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References
Client Reviews
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Résumé
License
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33 years since Diane E Ambler was first licensed to practice law.
| State |
License status |
Year acquired |
Last updated by Avvo |
| Dist. of Columbia |
Active
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1979 |
09/10/2009 |
We have not found any instances of professional misconduct for this lawyer.
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Work Experience
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| Position |
Duration |
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Adjunct Professor at
Georgetown University School of Law, LL.M. Program
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1997–2000
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Law Clerk at
Honorable Charles Clark, U.S. Court of Appeals for the Fifth Circuit
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1978–1979
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Education
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| School |
Major |
Degree |
Graduated |
| Villanova University School of Law |
Law |
JD - Juris Doctor |
1978 |
| University of Rochester |
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BA - Bachelor of Arts |
1971 |
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Associations
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| Position |
Association Name |
Duration |
| Co-Chair, Chair |
American Bar Association, Business Law Section, Investment Companies and Investment Advisors Subcommittee |
1994-2004
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| Chair |
Committee on Developments in Investment Services, American Bar Association, Section of Business Law |
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| Member |
Executive Committee, ABA Retirement Funds |
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| President |
Federal Bar Association, Securities Law Committee, Executive Council |
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| Chair |
Investment Committee, ABA Retirement Funds |
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| Member |
Mutual Fund Directors Forum, Executive Board |
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| Member |
Variable Insurance Products Committee, NASD |
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See all 7 association entries
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Portfolio
Publications
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| Article |
Publication |
Date |
| Mutual Fund Governance: Clarifying the Role of Independent Directors |
Investment Lawyer |
2005 |
| Book, co-author |
Sarbanes-Oxley Act: Planning & Compliance |
2005 |
| Book, co-author |
Sarbanes-Oxley Planning and Compliance |
2003 |
| Book, author |
American Bar Association publication |
2003 |
| The New Technologies of Customer Identification (Part 2) |
Currents |
2002 |
| The New Technologies of Customer Identification (Part 1) |
Currents |
2002 |
| Roundtable on the Role of Independent Investment Company Directors: Issues for Independent Directors of Bank-Related Funds, Variable Insurance Product Funds, and Closed-End Funds |
The Business Lawyer |
1999 |
| Investment Companies and Investment Advisers |
Securities Practice and Electronic Technology |
1998 |
| Regulatory Talk |
Fund Action |
1998 |
| The Financing of Mutual Fund B Share Arrangements |
The Business Lawyer |
1997 |
| Developments Affecting Fund of Funds Structures, Variable Insurance Contract Pricing, and Fund Names |
Insights: The Corporate & Securities Law Advisor |
1997 |
| Bank Sales and Underwriting of Investment Products (Mutual Funds and Annuities) |
The Financial Revolution: Understanding the Changing Roles of Banks, Insurance Companies, and Mutual Funds |
1996 |
| Participant Directed Defined Contribution Plans and Reliance on the Private Investment Company Exception |
Insights, The Corporate & Securities Law Advisor & Investment Lawyer |
1996 |
| Book, author |
American Bar Association publication |
1996 |
| U.S. Supreme Court Rules National Banks May Broker Annuities |
The Financial Services Regulatory Report |
1995 |
| Developments Relating to Investment Companies, Banks, and Mutual Funds |
Bankers Magazine |
1995 |
| Book, author |
Bank Investment Products Deskbook (Warren, Gorham & Lamont) |
1995 |
| Insurance Companies, Banks, and Mutual Fund Complexes: Who, What, Where |
The Financial Services Regulatory Report |
1994 |
| Lateral Hiring Conflicts |
Insights: The Corporate & Securities Law Advisor |
1991 |
See all 19 publications
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Speaking Engagements
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| Presentation Name |
Conference |
Date |
| Fee-Based Brokerage: What to do Next? |
K & L Gates Investment Management Breakfast Briefing |
2007 |
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