Diane M. Currie

Senior Compliance Consultant | dcurrie@wnj.com | V-Card | Profile PDF SouthfieldT 248.784.5021F 248.603.9621 Diane Currie provides consulting services for registered investment advisers, financial planners and family offices. She has spent more than 25 years providing a wide range of services to investment professionals, allowing them to focus on their core business so they can increase efficiency and profitability. Diane streamlines back-office operations and works to achieve a firm-wide culture of compliance. Her clients receive the benefits of her... Read More
Diane Currie provides consulting services for registered investment advisers, financial planners and family offices. She has spent more than 25 years providing a wide range of services to investment professionals, allowing them to focus on their core business so they can increase efficiency and profitability. Diane streamlines back-office operations and works to achieve a firm-wide culture of compliance. Her clients receive the benefits of her experience and expertise as well as training and services to comply with regulatory requirements, reduce costs and accelerate growth. As a securities compliance consultant,  Diane is not licensed to practice law, so she works closely with and under the supervision of attorneys in our Broker-Dealer and Investment Adviser Practice Group. 

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Experience

  • Registers investment advisers with state or federal regulators
  • Prepares disclosure documents such as Firm Brochure (ADV Parts 2A) and Brochure Supplement (ADV Part  2B)
  • Assists investment advisers with regulatory filings including annual amendment, Form 13F and Form 13H
  • Prepares and files Form U4 and Form U5 for investment adviser representatives (IARs)
  • Sets up books and records/compliance infrastructure for newly registered investment advisers
  • Provides CCO outsourcing support services
  • Conducts Investment Adviser's Act Rule 206(4)-7 reviews
  • Prepares and conducts investment adviser mock regulatory examinations, SEC and state
  • Develops and tailors compliance procedures
  • Reviews advertising and marketing materials for compliance with Investment Adviser's Act Rule 206(4)-1
  • Designs and provides continuing education programs
  • Assists with business continuity planning
  • Plans and develops information security programs and written policies
  • Improves monitoring system for client's objectives, portfolio activity and account performance
  • Prepares portfolio accounting reports, balancing through delivery
  • Updates performance measurement records and disclosures to comply with GIPS® standards

Professional Affiliations

  • National Society of Compliance Professionals

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