|
Areas of Practice
•
Professional Background
•
Professional/Civic Activities
•
Court Admissions
•
Bar Admissions
•
Education
•
Additional Information
Areas of Practice
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 Hubble, 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, 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, Section of Business Law (past chair)
-
Chair, Investment Committee; Member, Executive Committee, ABA Retirement Funds Board of Directors (2003-2007)
Court Admissions
- Court of Appeals of the District of Columbia
- United States Supreme Court
Bar Admissions
-
Bar of District of Columbia
Education
-
J.D.,
Villanova University School of Law
(1978)
(magna cum laude; Order of the Coif; Salutatorian)
-
B.A.,
University of Rochester
(1971)
Additional Information
Publications and Presentations
- "Synthetic Annuities: Securities, Tax, and Insurance Issues,"ALI-ABA Conference on Life Insurance Company Products, November 2008
- Co-Editor, Sarbanes-Oxley Act: Planning & Compliance, Aspen Publishers, November 2005, updated annually; translated into Chinese by CCH Hong Kong Limited
- Fund Directors Guidebook, American Bar Association (1st ed., 1996; 2nd ed., 2003; 3rd ed., 2006)
- "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
|