Diane Ambler

Diane Ambler

K&L Gates LLP

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Global Boardroom Risk Solutions Newsletter

Now more than ever, there is a need for risk solutions in the boardroom. Any organization can be faced with a significant crisis, whether a fraud investigation, a regulatory infringement, allegations of anticompetitive...more

7/25/2014 - Chief Compliance Officers Compliance Enforcement EU FCPA Fraud Investigations Risk Assessment Risk Management UK

Questions & Answers on State and Local Variations on SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

11/18/2013 - Investment Adviser Investment Advisers Act of 1940 Investment Management Lobbying Pay-To-Play Political Contributions SEC

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