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A Better Partnership

Diane M. Currie

Senior Compliance Consultant | Email

  • Detroit

    t. +1.313.546.6021

    f. +1.313.263.6855


Diane Currie provides consulting services for registered investment advisers. 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 promotes a firm-wide culture of compliance by providing on-site support to CCOs as well as training and services to comply with regulatory requirements. In addition, she provides cybersecurity and privacy consultation by creating policies and procedures to protect company, employee and client information. Her clients receive the benefits of her experience and expertise in operations and compliance to 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 Funds and Investment Services Practice Group.


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  • 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

Honors & Awards


Professional Affiliations

  • National Society of Compliance Professionals

Speaking Engagements

  • "The Modernized Marketing Rule," Virtual CCO Roundtable, March 3, 2021
  • "Rule 206(4)-7 Annual Review Requirement," CCO Roundtable, November 9, 2016

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