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Diane M.
Currie

  • Senior Compliance Consultant
Detroit
T 313.546.6021
F 313.263.6855

My admin

Diane Currie, IACCP® provides consulting services for registered investment advisers. She has spent more than 30 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 to helping with registration, disclosure and regulatory filings, Diane helps clients prepare for regulatory exams. Her clients receive the benefits of her experience and expertise in operations and compliance to reduce costs and accelerate growth.

Diane holds the Investment Adviser Certified Compliance Professional (IACCP®) designation, a mark of professional achievement in investment adviser compliance and regulatory best practices.

industries

practices

  • 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 mock compliance program exams to help firms identify potential weaknesses and enhance the effectiveness of their compliance programs
  • Assists advisory firms prepare for and respond to regulator exam requests
  • 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 mock compliance program exams to help firms identify potential weaknesses and enhance the effectiveness of their compliance programs
  • Assists advisory firms prepare for and respond to regulator exam requests
  • 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
  • Utilizes clients’ third-party software solutions to manage compliance tasks
  • 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

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        Image for Diane M. Currie

        Diane M.
        Currie

        • Senior Compliance Consultant
        Detroit
        T 313.546.6021
        F 313.263.6855

        My admin

        Biography|
        Credentials

        Diane Currie, IACCP® provides consulting services for registered investment advisers. She has spent more than 30 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 to helping with registration, disclosure and regulatory filings, Diane helps clients prepare for regulatory exams. Her clients receive the benefits of her experience and expertise in operations and compliance to reduce costs and accelerate growth.

        Diane holds the Investment Adviser Certified Compliance Professional (IACCP®) designation, a mark of professional achievement in investment adviser compliance and regulatory best practices.

        industries

        practices

        watch my videos