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Lance C. Dial

パートナー

Boston 電話 +1.617.341.7727 Fax +1.617.341.7701

One Federal St.//Boston, MA 02110-1726//United States

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.

受賞・所属

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)

Member, School Committee, Cohasset Public Schools

弁護士登録

  • Massachusetts

学歴

  • 2005年 Boston University, School of Management (M.B.A.)
  • 2004年 Boston University School of Law (J.D. cum laude)
  • 2001年 University of Georgia (B.A. History)

セクター

取扱分野

地域

イベント

3/29/2023 - Between a Rock and a Hard Place: Navigating Between ESG and Anti-ESG Regulatory Actions
3/20/2023 - Regs & Eggs: Recent Developments Impacting Registered Funds and Their Investment Advisers
3/12/2023 - 2023 Investment Adviser Compliance Conference: ESG Investing Session
12/12/2022 - Investment Adviser Association: ESG and DOL Joint Committee Call
12/6/2022 - ESG and Benefit Plans: Key Takeaways from the DOL’s Final ESG Rule
11/22/2022 - Global Sponsor Forum: Hot Topics in Disclosures
11/10/2022 - Tailored Shareholder Reports Final Rule
10/11/2022 - ICI 2022 Securities Law Developments Conference
7/20/2022 - Proposed Amendments to the Names Rule: Issues and Observations
6/6/2022 - Green but Verify – Proposed ESG Rules for Advisers and Registered Funds
5/26/2022 - Track 5: Investment Strategies
5/20/2022 - Registered Funds Trends and Developments Quarter in Review Series: Seventh Edition
5/10/2022 -
2022 Advanced Topics in Hedge Fund Practices Conference
2/17/2022 - Morgan Lewis Global Sponsor Forum: ESG Best Practices For Private Fund Managers
12/16/2021 - Making Sense of Sustainable Investing: How Asset Managers Can Comply with Financial Regulations and Align with Industry Standards
12/2/2021 - Registered Funds Trends and Developments Quarter in Review Series: Sixth Edition
11/1/2021 - ICI’s Virtual Securities Law Development Conference

ニュース

3/16/2023 - State Anti-ESG Coalition Clarifies Policy Goals, PLANSPONSOR
3/15/2023 - Issuers, Rating Agencies Are Direct Targets of Anti-ESG Bill in Florida, The Bond Buyer
3/2/2023 - Anti-ESG Fervor Catching Fire With Republican Lawmakers, Compliance Week
1/30/2023 - State Lawmakers Push Texas-Style Business Penalties Against ESG (1), Bloomberg Law
1/30/2023 - US Politicians Are Running on the Anti-ESG Agenda, ESG Clarity
1/25/2023 - Anti-ESG Might Just Be Getting Started, ESG Clarity
11/23/2022 - Can DOL’s New Rule Revive Investors’ Confidence in ESG?, Institutional Investor
11/23/2022 - DOL Passes 'Apolitical' ESG Rule Poised to Endure, Ignites
11/23/2022 - Lawyers Weigh in on Kentucky Banking Group's Case Against Anti-ESG Official, Responsible Investor
11/22/2022 - SEC Rules Aim to Boost ETF Transparency, ETF.com
9/13/2022 - As Stakes Rise on ESG Disclosures, Law Firms Prepare to Fill a Gap, The Legal Intelligencer
9/5/2022 - SEC Greenwashing Proposals Not Finding Common Ground Within Asset Management Industry, Pensions & Investments
8/30/2022 - SEC Proposed ESG Rules: Forecasting the Private Fund Industry’s Response and Offering Compliance Tips (Part Two of Two), Private Equity Law Report
8/25/2022 - SEC Action and Commissioner Peirce’s Statement Shed Light on CCO Liability, Hedge Fund Law Report
8/23/2022 - ‘ESG Integration’ a Sticking Point in SEC Proposals, ESG Clarity
8/23/2022 - SEC’s Proposed ESG Rules: Nuanced Concerns About Three ESG Categories and Other Form ADV Requirements (Part One of Two), Private Equity Law Report
7/25/2022 - Core Features of the SEC's Proposed ESG Rules and the Ethos Driving Its Release, Private Equity Law Report
7/12/2022 - 'The Kind of Loophole That's Big Enough to Drive a Truck Through': A Legal View of Anti-ESG Legislation in the US, Responsible Investor
7/1/2022 - PODCAST: Unpacking the SEC's Proposed ESG Fund Rules, ESG Insider
6/23/2022 - SEC Spring Rulemaking Agenda Signals Potentially Hectic Fall for Compliance, Compliance Week
6/6/2022 - Lance Dial Weighs In on the SEC's Proposed ESG Regulations, The Investment News Podcast
5/25/2022 - SEC Rule Proposal Would Order Investment Firms to Back Up ESG Claims, Compliance Week
5/9/2022 - SEC Asked to Pump Brakes on Pace of Rule Proposals, Pensions & Investments
2/10/2022 - Net Zero Asset Managers Initiative: How to Make the Commitment (Part Two of Two), Hedge Fund Law Report
2/3/2022 - Net Zero Asset Managers Initiative: What It Is and What It Requires (Part One of Two), Hedge Fund Law Report
1/10/2022 - ESG Investing Is About to Get a Lot Easier, InvestmentNews
12/15/2021 - In Brief: A Guide to Regs and Frameworks, New Private Markets
10/4/2021 - Morgan Lewis Adds Investment Management Former In-House Counsel Lance Dial in Boston

著書・論文

3/2/2023 - SEC Modernizes Content and Delivery Requirements for Mutual Fund Shareholder Reports, The Review of Securities & Commodities Regulation
1/23/2023 - For the Future of ESG, Look to State Bill Trends, Law360
January 2023 - The Trends—and Traps—That Will Shape 2023
January 17, 2023 (Updated March 14, 2023) - ESG Investing Legislation: Predictions for the 2023–2024 Legislative Session
11/29/2022 - DOL Reframes ESG Investing and Proxy Voting for ERISA Fiduciaries
11/22/2022 - US Department of Labor Gives a Green Thumbs Up to ESG
11/21/2022 - What Advisers and Funds Should Know About ESG and the SEC, ESG Clarity
November 2022 - SEC Proposes Mandatory Swing Pricing for Mutual Funds and Revised Liquidity Requirements
10/13/2022 - Money or Ethics: The ESG Investing Debate, Hedge Fund Law Report
10/13/2022 - Update: Four More States Move Toward Anti-ESG Regulations
8/29/2022 - Anti-ESG Bills Raise Questions for Public Retirement Plans, Law360
8/25/2022 - The State of Anti-ESG State Legislation
8/24/2022 - The Challenge of Investing in the Face of State Anti-ESG Legislation, Reuters
8/17/2022 - State Anti-ESG Bills May Complicate Public Retirement Plan Investing
6/2/2022 - The Name Game: SEC Proposes Expanding Scope of Registered Funds’ ‘Names Rule’
5/31/2022 - Green and Bear It: SEC Proposes ESG Rules for Advisers and Registered Funds
5/31/2022 - LawFlash – Green and Bear It: SEC Proposes ESG Rules for Advisers and Registered Funds
2021-2022 - Current Developments in SEC Examinations & Enforcement: A Special Report for Investment Advisers
2021-2022 - Current Developments in SEC Examinations & Enforcement: A Special Report for Private Funds
4/7/2022 - SEC Proposes a Change in Disclosure Climate, Reuters
3/14/2022 - DOL Has a New Vision for ESG: Which Stakeholders Need to Take Notice?, Reuters
2/2/2022 - Net Zero Pledges from Asset Managers Can Align Funds with ESG Goals. They Can Also Breach Fiduciary Duty and Raise Other Conflicts, Corporate Compliance Insights
12/22/2021 - SEC Proposes New Amendments to Money Market Fund Rules
12/15/2021 - Coloring Green Within the Lines: ESG Imperative for Asset Management Firms, Reuters
12/15/2021 - Making Sense of Sustainable Investing
12/15/2021 - Securities Lending: SEC Proposes Sweeping Rule Requiring Reporting of Transactions to FINRA
11/30/2021 - Net Zero Asset Managers Initiative – Roadmap to a Compliant Commitment
10/28/2021 - SEC Examination Staff Outlines Observations of Registered Fund Compliance Risks
10/22/2021 - DOL Proposal Signals Relaxed Rules for ESG Investing, Law360
10/21/2021 - ERISA Fiduciaries: DOL Proposed Rule Signals More Ease for ESG Investing
10/18/2021 - DOL Proposed Rule on Consideration of ESG Factors in ERISA Plan Investing: Proxy Voting Edition
10/15/2021 - Regulatory Ping Pong: DOL Releases Proposed Rule on Considering ESG Factors in ERISA Plan Investing
October 2021 - Regulatory Ping Pong: DOL Releases Proposed Rule on Considering ESG Factors in ERISA Plan Investing, Practical Guidance