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Diane E. Ambler

Partner
Washington DC
+1.202.778.9886
Fax +1.202.778.9100

Primary Practice

Secondary Practices

Education

  • J.D., Villanova University School of Law, 1978, (magna cum laude; Order of the Coif; Salutatorian)
  • B.A., University of Rochester, 1971

Admissions

  • Bar of District of Columbia
  • Supreme Court of the United States
  • Biography Overview
  • Additional Background
Ms. Ambler has substantial experience in financial institution regulation under federal securities laws, including the USA PATRIOT Act and the Sarbanes-Oxley Act, and has testified as an expert witness in her field.  She focuses her practice on mutual fund governance, compliance activities of mutual funds, private funds and variable insurance product issuers and distributors, and activities of related service providers.

Professional Background

Chambers USA has ranked Ms. Ambler as a top lawyer practicing in the areas of Investment Funds, Registered Funds, and she is listed in Best Lawyers in America for Mutual Funds and Private Funds Law. Ms. Ambler has an AV Peer Review Rating by Martindale-Hubbell, reserved for lawyers who have reached the height of professional excellence, usually having practiced law for many years and who have been recognized for having the highest levels of skill and integrity.

Ms. Ambler has practiced corporate securities law in the Washington, D.C. area since 1979.  She served as a Law Clerk to The Honorable Charles Clark, U.S. Court of Appeals for the Fifth Circuit from 1978-1979.

Professional/Civic Activities

  • Subcommittee on Investment Companies and Investment Advisers, American Bar Association (ABA), Section of Business Law, Committee on Federal Regulation of Securities (co-chair, chair 1994-2004)
  • Executive Council, Federal Bar Association, Securities Law Committee (past president)
  • Adjunct Professor, Georgetown University School of Law, LL.M.
    Program, "Financial Products in the New Regulatory Environment" and "Securities Activities of Banks and Insurance Companies"
  • Board of Consultors, Villanova University School of Law
  • Executive Board, Mutual Fund Directors Forum
  • Variable Insurance Products Committee, FINRA (1997-2010)
  • Committee on Developments in Investment Services, American Bar Association (ABA), Section of Business Law (past chair)
  • Chair, Investment Committee; Member, Executive Committee, ABA Retirement Funds Board of Directors (2003-2007)
  • Executive Board, Women in Law Empowerment Forum (WILEF)
  • Chair, International Committee, National Association of Women Lawyers (NAWL)

Speaking Engagements

  • "Synthetic Annuities: Securities, Tax, and Insurance Issues,"ALI-ABA Conference on Life Insurance Company Products, November 2008
  • "Ethical Obligations of Fund Lawyers and Compliance Professionals," Mutual Funds and Investment Management Conference, March 2005
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