ABOUT
Scott Diamond is a securities, derivatives and banking attorney at Lewis Brisbois, with more than three decades of experience advising broker dealers, swap dealers, banks, futures commission merchants, investment advisers, private funds, family offices, financial professionals, and other market participants on regulatory, transactional, compliance, and enforcement related matters. His practice includes broker dealer and investment adviser regulation, SEC and FINRA compliance, books and records requirements, written supervisory procedures, private fund structuring, derivatives documentation, and regulatory issues arising from the use of emerging technologies in financial services. Scott regularly advises clients on the application of federal securities laws and self regulatory organization rules to new business models, trading practices, compliance systems, communications, and recordkeeping obligations. He can be reached at [email protected].
