Preston Financial Law & Consulting provides comprehensive legal advice, strategic business consulting, advocacy, and regulatory counseling for banks, broker-dealers, and other financial institutions and financial services providers. Diana integrates financial industry law, business, and public policy experience to advise on risk management; trading; financial products and services; and banking, securities, and derivatives legal requirements and developments.

Throughout her career, Diana has been responsible for remaining current on a range of banking, securities, and derivatives regulatory developments. She has also worked with clients to develop new products and expand lines of business and continues to cultivate this knowledge. Her experience as government attorney, law firm lawyer, in house counsel, and industry advocate enables her to understand and appreciate client perspectives, identify common interests across the industry, and advise efficiently and effectively.

Diana has represented global, regional, and community banks; broker-dealers; investment advisers; private equity funds; hedge funds; alternative trading systems (ATS); savings associations; other financial institutions; trade associations; traders; financial technology providers (FinTech); individuals; and the United States.

Selected Capabilities:

  • Developing legal strategy, drafting submissions, and meeting with regulators to seek no-action relief, interpretive guidance, and regulatory approvals;
  • Counseling on applicable regulatory requirements;
  • Building coalitions to comment on proposed regulations;
  • Advocating for financial market-changing legislation;
  • Advising U.S. and foreign regulators about financial services laws and regulations;
  • Designing new products and trading systems;
  • Negotiating and drafting business agreements;
  • Drafting and implementing written supervisory procedures;
  • Auditing compliance programs and conducting internal investigations;
  • Defending and prosecuting in law enforcement proceedings; and
  • Analyzing trading for potential market manipulation.