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Diane E. Ambler

Fax +1.202.778.9100
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 (including AML 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 Super Lawyers and 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; and is listed in Martindale-Hubbell® Bar Register of Preeminent Women Lawyers™, exclusively for women attorneys who have received the highest possible rating in both legal ability and ethical standards from their peers. Ms. Ambler appears in the Guide to the World’s Leading Women in Business Law as an outstanding practitioner in Investment funds law.

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

  • Member, The American Law Institute
  • 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"
  • Chair, Board of Consultors, Villanova University Charles Widger 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)
  • Executive Board, National Association of Women Lawyers (NAWL)
Publications and Presentations
  • “Investment Companies: Regulatory Policies and Risk Management after Third Avenue,” Columbia Law School 2016 Annual Securities Regulation Conference, April 2016
  • "2016 Women in Leadership: The Evolving Role of Women in the Fund Industry," ICI Mutual Funds and Investment Management Conference, March 2016
  • “Hot Topics: Leading Current Issues in Securities Regulation and Enforcement,” Columbia Law School, November 15, 2013
  • Wall Street Journal, Women in the Economy Summit (2012)
  • Organizer and Presenter “International Women in Law Summit,”  jointly sponsored by The Law Society and the National Association of Women Lawyers, London, England,  March 2012
  • “Synthetic Annuities: Securities, Tax, and Insurance Issues,” ALI-ABA Conference on Life Insurance Company Products, November 2008
  • Fund Directors Guidebook, American Bar Association (1st ed., 1996; 2nd ed., 2003; 3rd ed., 2006)
  • Co-Editor, Sarbanes-Oxley Act:  Planning & Compliance, Aspen Publishers, November 2005, updated annually; translated into Chinese by CCH Hong Kong Limited
  • “Ethical Obligations of Fund Lawyers and Compliance Professionals,” Mutual Funds and Investment Management Conference, March 2005
  • Issues for Independent Directors of Bank-Related Funds, Variable Insurance Product Funds, and Closed-End Funds,” The Business Lawyer, November 1999
  • The Financial Revolution: Understanding the Changing Roles of Banks, Insurance Companies, and Mutual Funds, Irwin Professional Publishing, Fall 1996