September 2000 | National Regulatory Services (NRS)
Drawing on her experience as outside counsel advising on broker-dealer and investment adviser regulation and as an SEC examiner, Diana gave a presentation about what to expect during an exam and guidance on how to effectively audit compliance procedures. Her remarks were made at the NRS Investment Adviser and Broker-Dealer Compliance Conference.
September 2000 | National Regulatory Services (NRS)
Diana co-authored a paper with John Sturc and Mark Vlasic on litigation and liability relating to broker-dealers and other agents involved in sales of variable insurance products. She presented the paper at the NRS Investment Adviser and Broker-Dealer Compliance Conference.
1994 | Instituto Tecnológico y de Estudios Superiores de Monterrey, México (ITESM)
At the ITESM Seventh International Symposium of Law, Diana gave a presentation about U.S. trade sanction laws including export controls, trade restrictions in support of global environmental protection, and Office of Foreign Assets Control laws and regulations.
