Lance Dial is a partner in the Boston office. He is a member of the Asset Management and Investment Funds practice. Lance has experience advising asset managers and broker-dealers in all areas of the business. He has worked with all product types, including mutual funds, ETFs, money market funds, private funds, and bank-maintained collective pools. In addition, Lance advises clients on compliance and regulatory matters under the Investment Company Act of 1940, the Investment Advisers Act of 1940, ERISA, and other related federal securities laws. Lance has significant experience with the regulation of marketing and advertising of investment products, integration and marketing of Environmental Social and Governance (ESG) investment products and trading and market structure issues. He has worked extensively on regulatory policy matters with various financial services regulators, including the US Securities and Exchange Commission, US Department of Labor, Internal Revenue Service, and US Department of Treasury.
Prior to joining the firm, Lance served as senior in-house counsel with global investment managers for almost fifteen (15) years. Prior to that, he was an associate at K&L Gates.
- Chair, Cohasset School Committee
- Panelist, "Investment Adviser Marketing Rule," National Regulatory Services (NRS), 13 July 2023
- Panelist, "How to Navigate Pro and Anti-ESG Regulatory Action," GreenFin23, 28 June 2023
- Quoted, "Finra in Surprise Proposal to Allow Predicted Returns in Marketing," Investment News, 20 November 2023
- Quoted, "Wall Street watchdog floats plan to let brokers promise future results," Financial Times, 19 November 2023
- Quoted, "Loose Practices and Imprecise Recordkeeping Prompt SEC Scrutiny, Even When Investors Are Unharmed," Private Equity Law Report, 16 November 2023
- Quoted, "'Be Careful': SEC, Industry Grapple with 'Gray Area' in Marketing Rule," FundFire, 24 October 2023
- Quoted, "Sustainable Finance, A Texas boost for Biden's ESG investing rule," Reuters, September 2023
- Quoted, "Analysis: New anti-ESG rule in Missouri offers US Republicans another path away from 'wokeness'," Reuters, 10 July 2023