Lance Dial is a partner and 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.
