Prior to joining the firm, Diana served as law clerk for U.S. District Court Judge Raymond T. Broderick from 1993-94.
Diana counsels investment advisers on requirements of federal and state securities laws including:
- Insider trading
- Securities lending
- Distribution in guise
- Disclosure issues
Diana counsels fund clients and advisers on structural issues and Securities and Exchange Commission (SEC) disclosure filings, and on improvements in their oversight and controls regarding employees and operations. She has served as an independent compliance consultant to many organizations in connection with SEC enforcement actions.
Diana counsels independent directors and fund boards on fiduciary governance issues such as committee structuring, service provider contract arrangements, adviser conflicts of interest and contract approval, among others.