With more than a decade of experience as senior in-house counsel with global investment managers, Lance Dial has a deep understanding of mutual fund law and operation and is fluent in the myriad regulations applicable to investment managers. He is well versed in the creation of investment products and environmental, social and governance (ESG) and sustainability matters. Lance works extensively on regulatory policy matters engaging with various financial services regulators, including the US Securities and Exchange Commission, US Department of Labor, Internal Revenue Service, and US Department of Treasury.
Boston University, School of Management, 2005, M.B.A.
Boston University School of Law, 2004, J.D., cum laude
University of Georgia, 2001, B.A., History
Awards and Affiliations
Recommended, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2022)
Member, Best ETF Law Firm, ETF Express US Awards (2022)